INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance Operations Registration Senior Management
District Elections
Executive Summary
In early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating
*IF THIS GOES PUBLIC PLEASE RESPECT MY PRIVACY AND DONT USE THE WORD 'DIG'*
I HAVENT BEEN ABLE TO RESPOND TO A REQUEST FOR COMMENTS SUGGESTIONS REQUESTED A COUPLE OF YEARS AGO BECAUSE I WAS TAKING CARE OF 3 FAMILY MEMBERS WHO HAVE DEMENTIA ONE OF WHICH RECENTLY DIED SO I AM NOW ABLE TO COMMENT IMMEDITELY.
AWHILE BACK I HAD WENT TO VARIOUS FULL SERVICE BROKERS SEEKING TO JOIN UP
NASD Regulation Delays Implementation Date Of Phase III Of OATS From October 31, 2000 To December 15, 2000
On August 30, 2000, NASD Regulation, Inc. (NASD RegulationSM ) filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule proposal that extends the implementation date of Phase III of the Order Audit Trail System (OATSSM) to December 15, 2000. As provided
Section C: "...short interest reports could be due by 6:00 p.m. ET one business day after the designated reporting settlement date..." In this statement, it's the data that is fixed but the frequency is dynamic. For example, if there's no short sale for 2 days then there will be a reporting gap. Consider that the reporting frequency be fixed but the content be dynamic. A daily
National Association of Securities Dealers, Inc.
Notice Of Meeting And Proxy
The Annual Meeting of members of the National Association of Securities Dealers, Inc. ( NASD®) will be held on December 21, 1998, at 9:30 a.m., at the Carlton Hotel, 16th & K Sts. N.W., Washington, D. C.
The items of business to be considered at the Annual Meeting are:
1.
Election of persons to serve on
2019 Involvement and Election Process Overview
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 10, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules governing market maker withdrawals and
The FINRA 21-19 filing is a long overdue step in the right direction. However, given the current rules set in place, which allows prime brokerages to give their clients, hedge funds, an ability to essentially circumvent any short position reporting through what they call 'short arranging products' or 'arranged financing programs', the regulations proposed in FINRA 21-19 will
Dear FINRA,
I am hereby writing to object to the rule enhancement articulated on Regulatory Notice 22-08, which proposes a restriction on investors' ability to trade complex products and options.
I clearly understand your concern about investors making uninformed investment decisions on options and complex products specifically to leveraged or inverse exchange-traded products. However,
"However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks." Like the complex derivatives that the large financial institutions created leading up to the Global Financial Crisis and collapse of the housing bubble? Until you remove the ability of institutional investors to be excessively leveraged with
