INFORMATIONAL
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal and Compliance
Operations Managers
Fees
NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
Testimony of Chairman and CEO, Richard Ketchum, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is publishing for comment an amendment to Schedule E to the NASD By-Laws that would exempt a qualified independent underwriter from the pricing requirements of Section
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Training
Executive Summary
In the following document, the National Association of
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently adopted seven rules ("Rules") under the Securities Exchange Act of 1934 requiring broker/dealers engaging in certain recommended
ACTION REQUESTED
Intermarket Surveillance Group
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members discusses new uniform provisions regarding the automated reporting requirement for Electronic Blue Sheets (EBS).
Effective August 8, 2001 all members were required to:
(1)
SEC Proposed Rule #S7-24-15 is unnecessary and prohibitive. Levered ETF's are a great way to invest and people who use them know the risks and rewards. Investors are not stupid and understand leverage. You do not need to place obstacles in the way of anyone who chooses to use levered ETFs in their portfolio. The SEC should not have the right to tell me what investments are or are
To whom it may concern:
I am writing to express great concern that the FINRA policies under consideration will limit my access to leveraged and inverse funds.
These products are an important part of my investment strategy. With leveraged funds I have flexibility to invest without taking on debt, manage risks against rising or falling markets, and make personal investment decisions on hedging or
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceOperationsTrading
Executive Summary
On September 20, 1994, the Securities and Exchange Commission approved a proposed rule change by the NASD that amends the listing requirements in Parts II and III of Schedule D to the NASD By-Laws to impose specific delisting requirements for units listed on the Nasdaq National Market® and The
