Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
An amendment to the chairperson eligibility requirements of the Code of Arbitration Procedure for Customer Disputes and Industry Disputes that removes the alternative "substantially equivalent training or experience" criterion is effective September 22, 2008.
Retransmission Data Feed Policy
TRACE Usage Reporting Policy
FINRA 21-19 is a long overdue change. The market is a nonsensical mess as a result of the outdated "regulations" and lack of proper enforcement. You've encouraged a system that promotes Loopholes. Regulatory Notice 21-19 NEEDS to be sweeping across all aspects of reporting and closing and holding and marrying or whatever other terms or strategy's relate to Shorts and Reporting
I wholeheartedly agree with the proposed short interest reporting changes in this notice and continued heightened supervision of short interest reporting. I’m a believer that synthetic volume defiantly counters a fair and free market. Retail traders have continuously been walked over by the “system” since the stock markets inception. As a fellow regulator, I know first hand the importance of “
FINRA 21-19 is a long overdue change. A free and fair market is a strength of the US and it is obvious the integrity of those markets has been strained this last year. Part of that is due to FINRA's outdated short interest reporting policy. Even with some of the proposed changes in 21-19, there are still some gaps that do not account for synthetic shares that should be addressed as well.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD® Rule 2350, which specifies requirements applicable to broker/
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws, which will become effective June 30, 1988. The new rules significantly alter the obligations of NASDAQ market makers. Major changes
Regulatory Notice 08-36 - SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions
