Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Short positions should have to be reported immediately upon hitting the threshold list. Which as you know means FTD's are running rampant, they should be forced to cover in entirety to discourage institutions from dragging out their mistakes if they've had enough days consistently to reach the list. This would have saved them billions to date. Also Prime brokers should be required to
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 4, 1986, 25 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,630. These 25 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 20, 1986, 28 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,363. These 28 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Proposed Rule Change to Update Certain Cross-References Within Certain FINRA Rules
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on proposed amendments to the Corporate Financing filing requirements which would exempt from those requirements all debt and equity securities registered with the Securities and Exchange Commission ("SEC" or "
Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
