Election Results for District Committees and District Nominating Committees
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TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the fourth quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
84-52
October 5, 1984
Next NASDAQ/NMS Phase-
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
84-1
January 9, 1984
National Market System
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Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all
Any new rules to regulating shorts would be very welcome as a retail investor. As far as I’m concerned, these are the biggest problem in enforcing REG SHO and regulation of the shorting market is the T2 settlement period which obscures net positions for the average investor. And the other is the blurred line of market makers and hedgefunds. Hedgefunds can easily parade themselves as “bona fide”
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
Yes all these disclosures are ok and show improvement. But what we need is bigger fines and penalties for those who breaks the rules and manipulating the market, yes Hedged finds and Broker platforms such as Robinhood. You need to say it’s enough and you can’t keep doing wrong stuffs. All these little fines recently changes nothing, someone is at fault and guilty, some people deserve to go to
Clearly… the market has become so rigged, unenforced and rebellious that unless you enact changes, companies will decide for themselves to create their own depository and turn every share into an NFT on the blockchain, because nothing else can protect them from predatory and malicious actions of bad actors that are emboldened by a system that gives them little oversight and allows them to
Hello - thank you for addressing this and making it a priority. I am primarily invested in AMC but also have shares in other shorted stocks like GME and NAKD. The pricing is being manipulated by market makers and hedge funds in and out of dark pools. Based on what we know as fact, they should have had margin calls multiple times but skirt the rules to push the proverbial can down the road. The
