In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will
Having been a retail investor for over two decades, I only recently discovered the extent of market manipulation really going on behind the scenes. I applaud your organization's proposed changes. Specifically I believe the markets would benefit from public dissemination, in real time, the short positions, dark pool flow, and FTD's. I personally would go further, requiring a responsible
ADF Operations receives and posts Denial of Access Notifications, pursuant to Rule 4300A(a)(6) to ensure that securities firms have adequate time to make other routing or access arrangements, if necessary.
Respectfully, Much of what FINRA is “considering” regarding the reporting of Short Selling, Reporting, disclosures, and transparency is all needed to protect not only retail investors both domestic and abroad, but to ensure there is confidence in the US stock market. A failure to close loopholes from hedge funds and create a fair and equitable platform where investors get “real” pricing, and
While the rules being put into play this year are good in essence, it doesn't do any good of they are not enforced. That being said, with all of the research and exposing retail investors have done over the last 7 months, it is very clear to the world that the "free" market does not exist. It seems, though lack of transparency and lack of action, that FINRA, the SEC, and all other
INFORMATIONAL
Interfering With Customer Account Transfers
Implementation Date: February 11, 2002
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KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted Interpretive
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 35 of the NASD Rules of Fair Practice. The amendment would require advertising and sales literature for registered investment company securities to be filed by members with the NASD Advertising Department within 10
INFORMATIONAL
Confidential Customer Information
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KEY TOPICS
Legal & Compliance
Senior Management
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SEC Regulation S-P
Executive Summary
In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
