As a Country, we've lost confidence in the free market of the United States of America. My suggestions would be: T-0 real time settlement FTD's forced to deliver per the regulations Enforcement of illegal naked shorts that have decimated retail's portfolios for decades. Increased scrutiny of dark pools (some of these stocks are being traded 60% in dark pools) Elimination of being
Executive Summary
On September 6, 1995, the expanded Limit-Order Protection Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits member firms from trading ahead of customer limit orders (commonly known as Manning II) became fully effective. The expanded Interpretation extends the scope of limit-order protection in The Nasdaq Stock MarketSM to ensure that
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
NASDR has filed with the SEC a proposed rule change to amend its By-Laws to clarify that the outgoing members of the National Adjudicatory Council are to select a Chair and Vice Chair from among the members who will be serving in the following year.
NASD has filed with the SEC a proposed rule change to prohibit a member from trading ahead of a customer market order and to require the crossing of customer market orders, if the customer market order has not been executed fully and promptly.
SuperMontage
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
SuperMontage
Executive Summary
On May 28, 2002, the Securities and Exchange Commission (SEC) approved amendments made by The Nasdaq Stock Market, Inc
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved a proposed Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that
I am Daniel M. Sibears, Vice President, Member Regulation of NASD Regulation, Inc. (NASDR). I appreciate the opportunity to appear before you today to give the views of the National Association of Securities Dealers, Inc. (NASD) on the examination of the securities activities of banks and other financial institutions.
