On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, September 4, 1989, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to
I am strongly opposed to the FINRA's misguided proposed regulations. This absolutely irresponsible regulation would clearly hurt investors by denying me the ability to choose investments that could help me and my family achieve long term financial security. It would also upend our regulatory system by giving regulators the right to decide what public securities that I can invest in and
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Tuesday, July 4, 1989, in observance of Independence Day. "Regular way" transactions made on the business days noted below will be subject to
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed Monday, May 29, 1989, in observance of Memorial Day. "Regular way" transactions made on the business days noted below will be subject to the
The PEOPLE should be able to choose the public
investments that are right for them and their families
Public investments should be available to all of the public,
not just the privileged. We've had enough of market manipulation and we need to stay a free market economy. People need to be allowed to make their own decisions. Cryptocurrency is new and it's threatening the system
As a small retail investor, I use and have been using for the past 12 years, several complex products to enhance my returns in order to save enough for my retirement. I object to any rules that would deny my access to these products as it would put my retirement goals in jeopardy. ESPECIALLY any cool down periods that may be imposed and possibly lock in temporary losses. That being said I am
I am against the FINRA Proposed Rule #22-08. Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. Rule #22-08 upends that principle, giving regulatorsnot methe power to decide what public securities I can and cannot invest in. Investors have the right to freely access the entirety of the public securities
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
For Your Information
National Association of Securities Dealers, Inc.
September 1989
District 12 Sponsors September Seminar in New York
NASD District 12 will sponsor its third annual educational seminar September 26 at the Vista International Hotel in New York City. Directed toward management and financial/operational personnel of NASD members, the seminar will feature more than 30 speakers
