TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws, which will become effective June 30, 1988. The new rules significantly alter the obligations of NASDAQ market makers. Major changes
INFORMATIONAL
Bulk Transfer of Customer Accounts
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Accounts
Rule 2110
Executive Summary
In October 2000, the staff of NASD issued an interpretive letter concerning the use of "negative response letters" to transfer certain customer accounts to a new broker/dealer.
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Research
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III,
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
I understand the value of short selling. I understand it is a mechanism to root out unsavory characters that may be using subversive tactics to artificially prop up a stock/ security, however I do not understand why, in 2021 we as retail investors do not have access to the same information at the same time as institutional investors? how is that a free market? again its 2021 and we have internet
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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-
Neutral Corner - Volume 2—2019
Mission Statement
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Removal of Initial Prehearing Conference Order PDF from FINRA's Website
Register for the Portal Today
Portal How-to Videos
Practising Law Institute: Securities Arbitration 2019: September 10, 2019
SEC Rule
Self reporting of short interest needs to stop, that is like someone self-reporting what crimes they commit and not having a background check. Short interest needs to be reported immediately through automated means (mandatory monitoring software controlled by a regulatory agency) and made available to the public immediately within an hour. If the software stops it should automatically stop all
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
I’m just a small time retail investor and I know my opinion doesn’t matter… I’d just like to see maybe more regulation on the dark pool. You have market makers like citadel and many others not just them that also have hedge funds groups, they take trades and stash them in the dark pool. How could we allow the dark pool to have more volume then the actual market? Where do we draw the line in the
