SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer, Form U-4, and the Uniform Termination Notice for Securities Industry Registration, Form U-5. The changes
(a) Terms used in this Rule 6170 shall have the same meaning as defined in Rule 6220.
(b) Any ADF participant that is required to obtain, or otherwise wishes to use, more than one Market Participant Identifier ("MPID") for purposes of displaying quotes/orders or reporting trades through the ADF must submit a written request, in the form required by FINRA, to, and obtain approval
Thank you FINRA for extending the period for commenting. Also, I thank you for attempting to make the U.S. Equities Market a fairer and safer place for retail investors to do business. This year is the first in which I became a direct participant in the U.S. Stock Market. Before this year I only passively participated though my retirement plan, but this year I proudly became a retail investor.
K CAPITAL LLC805 THIRD AVENUE, FLOOR 14, NEW YORK, NY 10022K2 CAPITAL ASSET MANAGEMENT, LLC150 MOTOR PARKWAY SUITE 200, HAUPPAUGE, NY 11788KA ASSOCIATES, LLC2121 AVENUE OF THE STARS, 9TH FLOOR, LOS ANGELES, CA 90067KAHN BROTHERS LLC555 MADISON AVENUE, SUITE 1303, NEW YORK, NY 10022-3301KAL CAPITAL MARKETS LLC3738 BAYER AVENUE SUITE 103, LONG BEACH, CA 90808KALORAMA CAPITAL, LLC1718 22ND ST NW,
COMMENTS ON 22-08 You have made this request for comments so complicated that it is hard to follow. I will just list my ideas and you can try to sort them out. On my trip from model airplanes to airline captain I have made many replies that affected new FARs. This a free country and everyone should be able to risk some $ and try to make more $. This should include hedge funds, but limited to a
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 3, 1988, the following two issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,976:
Symbol*
Company
Location
AKRN
This report illustrates capped average size trading volumes in corporate, agency and structured products reported for the prior month. Volume cap is the amount of tax-exempt financing available for certain types of private companies or developers in a calendar year. A project must obtain an award of volume cap before it can have tax-exempt bonds issued. Learn more about corporate, agency and
This rule is no longer applicable. NASD Rule 3150 has been superseded by FINRA Rule 4540. Please consult the appropriate FINRA Rule.
(a) Each member that is a clearing firm or self-clearing firm shall be required to report to NASD in such format as NASD may require, prescribed data pertaining to the member and any member broker-dealer for which it clears. A clearing firm or self-clearing firm
(a) Before appointing arbitrators to a panel, the Director will notify the arbitrators of the nature of the dispute and the identity of the parties. Each potential arbitrator must make a reasonable effort to learn of, and must disclose to the Director, any circumstances which might preclude the arbitrator from rendering an objective and impartial determination in the proceeding, including
