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
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On June 4, 1993, the Securities and Exchange Commission (SEC) approved amendments to Part VI, Section 2 of Schedule D to the NASD®. By-Laws to reduce excess spread parameters for Nasdaq and Consolidated Quotation Service (CQS) securities. The rule change establishes new excess spread parameters
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training
Debt Securities Dissemination Operations Rule 6200 Series Transaction Reporting
Executive Summary
On January 31, 2003, the Securities and Exchange Commission (SEC or Commission) approved an
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of June 28, 1994, the following bond was added to the Fixed Income Pricing SystemSM. This bond is not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
CQB.GG
Chiquita
9.125
3/1/04
The bond listed above is subject to trade-reporting
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Reclamation by reason of the fact that a security was delivered after publication of notice of call for its redemption, may be made without limit of time and such security may be returned to the party who held it at the time of such publication; except that this Rule shall not apply when an entire issue is called for redemption or when the security involved was dealt in specifically as a
NASD Regulation, Inc., has filed with the SEC a Notice to Members 01-23 reminding members that they have suitability obligations when they make recommendations to customers online.
GUIDANCE
Trading Activity Fee
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KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
Section 1 of Schedule A to NASD By-Laws
Trading Activity Fee
Executive Summary
On October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
