<p>Requirements of member firms to establish a schedule for and conduct inspections of Offices of Supervisory Jurisdiction and branch offices.<br/></p>
Dear Regulator(s), Kindly requesting you to reconsider the imposing investment restrictions to individual investors. I am in no position to analyze full picture of why considering such rule and what future impact will be for US investors. However, customers move away from companies that are not prioritizing and addressing customers real need and within parameters these parameters I can imagine
TO: All NASD Members and Level 2 and Level 3 Subscribers
The Securities and Exchange Commission has approved amendments to Schedule D of the Association's By-Laws with respect to the rules which permit the aggregation or "bunching" of orders in NASDAQ National Market System securities into a single transaction report.
Under the amendments, which are effective immediately, orders
(a) Each member that is subject to the requirements of SEA Rule 17a-13 shall make the counts, examinations, verifications, comparisons and entries set forth in SEA Rule 17a-13.
(b) Each carrying or clearing member subject to the requirements of SEA Rule 17a-13 shall make more frequent counts, examinations, verifications, comparisons and entries where prudent business practice would so require.
(a) A member may hold mail for a customer who will not be receiving mail at his or her usual address, provided that:
(1) the member receives written instructions from the customer that include the time period during which the member is requested to hold the customer's mail. If the requested time period included in the instructions is longer than three consecutive months (including any
(a) For purposes of applying any provision of the Rule 7600B Series that reflects a charge assessed, or credit provided, by the FINRA/NYSE Trade Reporting Facility, a member's activity will be aggregated automatically with the activity of its affiliates. Members are required to submit to the FINRA/NYSE Trade Reporting Facility a form disclosing affiliates and immediately provide notice to
(a) Purpose
The Rule 9520 Series sets forth procedures for a person to become or remain associated with a member, notwithstanding the existence of a statutory disqualification as defined in Article III, Section 4 of the FINRA By-Laws and for a current member or person associated with a member to obtain relief from the eligibility or qualification requirements of the FINRA By-Laws and FINRA rules
This is great and all along with all the new regulations by the SEC, DTCC, FINRA, etc. However, these regulations are toothless in nature and are either not enforced by regulators who look the other way or they impose a very minimal fine that does not affect the institutions violating the law. There are a set of rules for the retail investor then there is a set of rules for market makers and
What good is regulation if there is no enforcement? For far too long, market makers and institutions have been playing the game with their own rules whilst stealing money from the American public. How can this possibly be a free market with the lack of transparency and open manipulation that occurs in the stock market every day for the past several decades? There are a number of things that need
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
