Business Continuity Plans
Action Requested By: May 13, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Institutional
Internal Audit
Legal & Compliance
Operations
Registration
Senior Management
Systems
Business Continuity
Disaster Recovery
Emergency Preparedness
Executive Summary
The NASD is seeking comment from NASD members, investors, and other
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 3, of the
1. What is the Form BR?
Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through FINRA Gateway with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
The United States has always been the land of opportunity; "if you can make it here, you can make it anywhere." I strongly believe that America offers a very unique circumstance for the common man to lift himself up by his bootstraps and become the king of his domain and obtain the kind of wealth that can set a man for life and even change his family tree. Institutions are created by
The rules governing each NASD Trade Reporting Facility ("TRF") provide that a member may agree to allow a TRF Participant to report and lock-in trades on its behalf, only if both parties have completed an agreement to that effect (a "give up agreement") in the form specified by NASD.
I am just simply fed up with this incredible UNFAIR "FREE" market. As a retail investor for the better part of the year I began investing with the tolerance to idly stand by as positions where I have stake have been very clearly manipulated. No longer will I be a silent bystander because after the last few weeks I have seen it is very apparent to me that these problems run deeper. I
Executive Summary
On November 8, 1995, in Rel. No. 34-36466; SR-NASD-95-45, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 4 of the NASD® By-Laws to conform the NASD's eligibility criteria to changes adopted by Congress in 1990 to the statutory disqualification provisions found in Sections 3(a)(39) and 15(b)(4) of the Securities Exchange Act of
I am not in favor of any regulation that would take away my ability to use investment devices that are available to others or to throttle or adjust my access.
I use a leveraged ETF (TQQQ) to risk a smaller amount of money and possibly achieve greater returns as part of my comprehensive investment strategy. I am quite pleased with the results and will continue to use it as a portion of my overall
Pursuant to FINRA Rule 6191(b)(4)(B), FINRA publishes aggregated Market Maker Profitability data on a monthly basis at no charge. FINRA does not identify the market makers that generated the data or the individual securities.
FINRA aggregates and publishes the following data categorized by Control Group and each Test Group:
market maker profitability statistics for market makers for
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
