FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options; Effective Date: February 28, 2008
Executive Summary
On January 11, 1999, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3)(A), tripling the position limits on standardized (exchange-traded) equity options to make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security. These amendments
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Affirmative Determination
NASD Rule 3370
Short Sales
Executive Summary
On March 23, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of
FINRA’s NAC Revises the Sanction Guidelines
FINRA released a new edition of the OATS Reporting Technical Specifications dated March 15, 2010. The changes described in this edition of the OATS Reporting Technical Specifications will be available in the OATS Production environment on April 26, 2010 and will be available in the OATS Certificate Test environment on April 12, 2010.
I would be categorized as a "retail" trader. The assumptions being made in this proposal are insulting, it wrongly assumes so called retail traders are uneducated in many of the products named in this proposal. The assumption non-professional traders lack understanding of these products is not what I see on a daily basis. I trade with hundreds of other traders in a Discord chat room and
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Executive Summary
Federal Reserve Board Regulation T governs the extension of credit to customers by broker/dealers. Among the provisions of Regulation T are requirements governing the initial margin
<p>Short Sale Netting Requirements and Aggregation Units<br />
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SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
NASD is filing with the Securities and Exchange Commission a proposed rule change to repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in light of the requirements of the SEC’s new short sale regulation, Regulation SHO under the Act. The SEC has indicated that it expects that Reg SHO provisions will supplant existing overlapping self-regulatory organization (SRO) rules.
