GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
Hello, I'm sending this comment on behalf of the current situation of short sales being done within the stock market of AMC. As a new investor being affected by the current situation of the manipulation being held within the stock market, specifically AMC, it has been disheartening to see what's being done to the stock market. I've noticed throughout my time investing, I, along
Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and
Every share should be tracked with a unique identifier. Every share with a unique identifier should only be allowed to lent out once. Every order should be delivered T+2 or fails mean 10x cost penalty. Every short position should be updated with FINRA daily. All retail but and sell orders should be done in a "lit" market - not retail order should be allowed to be packaged up with other
Treatment of Non-Margin Eligible Equity Securities
SUGGESTED ROUTING
Senior ManagementInstitutionalMunicipalTrading
Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has recently approved amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice that relates to minimum margin requirements for option contracts on a market or industry index. These amendments which became effective on April 13, 1984 establish minimum
Occasionally, I have used "complex investment products," such as leveraged or inverse funds in my portfolio for specific purposes. As a retired person, I need growth in my investments to fund my living expenses and so far, 2022 has not been very kind. One bright spot in my portfolio has been the ProShares ETF that shorts the 20-year treasury bond which produces a return in a
The proposed regulatory changes are embarrassing - to FINRA and the SEC, and an insult to investors. I should be able to make investments in the targeted public securities that I believe are in my (and my family's) best interests without going through a special process. Further, given all the extreme movements in individual stocks recently (Gamestop exemplifies), why limit the initiative to
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to
