This being the United States it's still the land of the free. Each adult of sound mind deserves to educate themselves and have access to ALL investment vehicles. Even those investment vehicles that regulators or other individuals with a different risk profile would deem too risky or inappropriate.
Each person must make their own assessment of risk and whether that level of risk is
Simplistic answer. Get all the information and in the shortest time frames, ex: in t+1. Consumers make purchases/sales for products based on reviews and the history of reviews. Why would a security be any different? You wouldn't want to transact anything if you had only a small % of information and come to find out 35 days later that the place you transacted with isn't dealing with its
UPDATE 10/19/2018: During the week of Oct. 8, 2018, exceptional market volatility again produced record numbers of electronic messages processed by FINRA, including the three highest-volume days in history:
The 107 billion messages processed on Oct. 10 topped the previous record of 101 billion set on March 28, 2018.
The very next day – Oct. 11 – saw a significantly higher record set: 135
Last Voting Date: April 23, 1993"
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
In an effort to streamline the processing of information requests, FINRA is consolidating the number of request types that are sent to member firms from Member Supervision. The five new categories are: Firm Exam Request, Cause Exam Request, Trading and Financial Compliance Examinations (TFCE) Firm Exam Request, TFCE Cause Exam Request, and Statutory Disqualification. This change to Member
(a) Definitions. For purposes of these Rules, the following definitions shall apply:
(1) The terms "automated quotation," "National Market System Plan" (NMS Plan), "intermarket sweep order," "manual quotation," "NMS stock," "protected quotation," and "trading center" shall have the meanings set forth in Rule 600(b) of SEC
Year 2000 Program Addresses Challenges Faced By Automated Systems
Members Be Advised: The year 2000 will be upon us in less than two and a half years, and, to be ready, all National Association of Securities Dealers, Inc. (NASD®) member firms must take action now to ensure that their automated systems will continue to operate successfully. The NASD has instituted a Year 2000 (Y2K) Program to
At FINRA, we’re the first line of oversight for the brokerage industry. And our employees are the defenders along that line, ensuring every day that we protect the investing public against fraud and other violations of FINRA rules and the federal securities laws.
We’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 3, 1986, 25 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,385. These 25 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
