TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On November 30, 1984, the United States District Court for the District of Colorado appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB
I strongly oppose restricting access to any public investments to those who already have significant financial and/or social capital. This is the sort of self-dealing that gives the financial industry the reputation of rigging the game in its own favor at the expense of retail investors. I personally use 3X leveraged funds to potentially enhance returns on a small portion of my overall portfolio
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 7, 1984, the United States District Court for the District of Colorado appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB Rule G-
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On March 14, 1984, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also,
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 1, 1984, the United States District Court for the Southern District of New York appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(1) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On January 23, 1984, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open OTC contracts. Also
Market Regulation Compliance Report Cards
On September 24, 1998, staff of the Market Regulation Department (Market Regulation) of NASD Regulation began making available quantitative reports for each NASD member firm concerning its compliance with trade reporting, firm quote, and best execution. The reports are being provided to firms as a compliance aid to assist them in ensuring that they are
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
Im writing to provide strong rebuke of FINRAs Regulatory Notice 22-08 and its attempt to limit investors/traders (I/Ts). What FINRA is proposing is tantamount to treating I/Ts like immature children. Its highly evident in the statement FINRA released: However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 22,1997,the Securities and Exchange Commission (SEC) approved amendments to the Interpretation on the Release of Disciplinary Information (NASD® IM-8310-2).These amendments authorize the release of public information on disciplinary complaints and non-final disciplinary
