INFORMATIONAL
Arbitration Awards
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Legal & Compliance
Operations
Senior Management
Arbitration Awards
Motions to Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
In August 2000, the National Association of Securities Dealers, Inc. (NASD®) published Notice to Members 00-55 which announced that NASD Dispute
NASD Will No Longer Impose Censures For Some Violations
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Hello, As a full-time investment portfolio manager for the last 15 years, I feel like this entire filing is yet another moot point. No matter which valid point I bring up, the Commission will only find it invalid, however, here goes nothing: I respectfully advise the Commission to re-think the overall goal in respect to their job function. You're asking for comment on something very little
INFORMATIONAL
Operations
Effective Date: September 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
ACATS Rules
Uniform Practice Code
Executive Summary
On September 12, 2001, the Securities and Exchange Commission (SEC)
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The NASD Board of Governors requests member comment on rule proposals developed by the Industry/Regulatory Council on Continuing Education (the Council). These proposals codify and expand the conceptual recommendations made by a special task force comprised entirely of industry
I notice you are welcoming comments on regulatory notice 21-19 regarding short positions. In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen
Dear FINRA, as a European citizen and not professionally or directly involved in the US market if not as a retail investor, I don't know how qualified or entitled I am to write to you, but seeing that you make an effort to hear our opinion, and since we can only appreciate this action hoping in constructive and effective changes in the future of the world market, here it goes: I am aware
-Enhanced Failure to Delivery, Failure to Settle, Market Buy Ins, Market Lock Ins and FINRA to Publicly report these in a timely manner in .csv format on their website. The only data currently available is "Failures to Deliver" which is only 1 of several metrics. Retail and others would greatly benefit from the transparency added by simply providing this additional information about
Good evening, I write to explain my frustration with the current market, some market makers as well as bad players. The United States stock market is currently very manipulated and it is becoming so obvious that I feel it is endangering the US stock market. Short selling has become a big problem for a few players out there. I believe they have made a lot of money and when caught the fines have
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
