REQUEST FOR COMMENT
Certification by Chief Executive Officer and Chief Compliance Officer
Comment Period Expires on: July 11, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Compliance
Supervision
Executive Summary
NASD is proposing to amend Rule 3010 and adopt
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 7620A to eliminate the per-transaction fee for late reports and corrective transactions that is currently imposed on non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq
I honestly have been losing faith in our stock market in general and want to bring integrity back to our markets. If shares aren’t properly reported and have the ability to be manipulated on a mass scale then what’s the point of the every day investor even attempting to do anything?? My comment would be to enforce the law on ALL of us not just some. If naked shorting or selling of stocks they
The cat's out of the bag; retail investors now see and know that hedge funds and big business, in general, are taking advantage of the general public. Excessive and indefinite short-selling to drive stock prices down (and some companies out of business), as well as trading away from major exchanges that retail investors cannot interact with is destroying our faith in the system. The
While short positions is legal and should remain so, predatory shorting that harms American companies, it's consumers, and American investors should be abolished. Greater monitoring of the practice and regulatory enforcement to prevent it from occurring is desperately needed. "Dark Pool" trading in particular is should be illegal and have those that participate in it the subject of
To whom it may concern, Short interest positions should be reported daily. Dark Pool trading should be banned. I can understand the argument for their initial creation, however I do not trust financial giants from misusing the dark pools for price suppression. Payment for order flow should be completely banned. Retail investors should be on an equal playing field as hedge funds and market makers
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Options
Trading
Executive Summary
Through this Notice, NASD Regulation, Inc. (NASD RegulationSM) is establishing an interpretation that National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3) options position limits apply with respect to options transactions that are intermediated
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
