<p>Exemptive request denied: the OATS Rules do not provide NASD Regulation with the authority to grant exemptions from any of the OATS requirements.</p>
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 30, 1985, the United States District Court of South Carolina, Charleston Division, appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC
All FTD's should be reported daily and all self regulation should stop. All FTD's should be defined in a T1 and settled in a T2. All short positions should be identified publicly. All naked shorts should be excluded and settled with FTD settlements. All fines for violations should be on a per share basis. No more speeding tickets where the fine is cheaper than the position. Let the
The FINRA Investor Education Foundation (FINRA Foundation) today awarded Doug Shadel, Ph.D., the 2023 Ketchum Prize—its highest honor—in recognition of his outstanding service and research on protecting consumers, particularly vulnerable Americans.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 16, 1985, the Federal District Court for the Eastern District of Arkansas appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) 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 April 10, 1985, the United States District Court for the District of New Jersey appointed a Temporary Receiver for the above captioned firms.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close-out open OTC contracts.
I'd like to point out your "What We Do" section on your website. Many of retail investors are well aware that you actually do nothing at all in the grand scheme of things. You give out measly fines to make it appear like you're doing your job, when those same institutions that you fined made billions of dollars in profit. You may write rules, but you certainly do not enforce
Transparency, accountability and a fair market for all investors. This is what retail investors want. -Frequency in reporting should absolutely be on a daily basis. This should be public information. Not a “pay to play” basis. Companies who profit from hiding this information and selling it, only add to the unfair market advantage faced by retail traders. They will need to adjust their profit
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 7, 1985, the United States District Court for the Central District of California appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close-out open OTC contracts.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 6, 1984, the United States District Court for the District of Oregon 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, MSR8 Rule G-12
