On behalf of NASD, I would like to thank Chairman Sarbanes, Ranking Member Gramm, and the members of the Senate Banking Committee for this opportunity to testify.
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
It is incredibly important to have a financial system be transparent, secure, and fair. I believe that this proposal aids in the effort to produce a more transparent go coal system. Many new investors will be put off from investing in the stock market without these transparency rules. Many people, myself included, see the current system as unbalanced and rife with the exploitation of retail
Proposed Rule Change to Amend Rule 13204 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 11900 (Clearance of Corporate Debt Securities) to except certain transactions in corporate debt securities.
I want a more transparent market for retail investors. Live accurate data that isn't 2-30 days delayed and partially reported. It is a distinct disadvantage that retail has when it only gets part of the picture. I also would like to see more regulations and stiffer penalties on naked short selling. The fines that are handed out for FTDs and naked short selling are a drop in the bucket to
I want a more transparent market for retail investors. Live accurate data that isn't 2-30 days delayed and partially reported. It is a distinct disadvantage that retail has when it only gets part of the picture. I also would like to see more regulations and stiffer penalties on naked short selling. The fines that are handed out for FTDs and naked short selling are a drop in the bucket to
ACTION REQUIRED
2006 Final Renewal Statements and Reports
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Executive Summary
The 2006 NASD Broker-Dealer and
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
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Rule 6740
SEC Rule 15c2-11
SEC Rule 15c3-3
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to
advise member firms and other interested parties of certain
actions and issues relating to the
