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Notice to Members 00-28
INFORMATIONAL Hard To Borrow List SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representatives Trading & Market Making 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
Notice To Members 94-46
SUGGESTED ROUTING Senior ManagementInstitutionalLegal & ComplianceOptionsTrading Executive Summary Given the growing market for over-the-counter (OTC) derivatives, such as OTC options on individual equity securities and stock indexes, and the Securities and Exchange Commission's (SEC) recent approval of increases in option position and exercise limits, the NASD reminds
Notice to Members FYI December 2006
NASD has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
About NMS Equity and Options Routing Reports (SEC 606(a) Reports)
SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
Michael Hernandez Comment On Regulatory Notice 21-19
Short interest and FTD anomalies need to be have the greatest level of transparency and strictest guidance available to the entire breadth of market participants. We should not a have a market system where by large powerful institutions can dominate trading with a flood of short sales for the purpose of extinguishing any particular company's stock and eventually forcing it in to bankruptcy.
2360. Options
(a) Definitions The following terms shall, unless the context otherwise requires, have the stated meanings: (1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract. (2) Call — The term "call" means an option contract under
2360. Options
(a) Definitions The following terms shall, unless the context otherwise requires, have the stated meanings: (1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract. (2) Call — The term "call" means an option contract under
Regulatory Notice 07-37
Regulatory Notice Notice TypeRule Amendment Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31 Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining Key Topic(s)Exercise LimitsOptionsPosition Limits Options Position and Exercise Limits Executive Summary SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
David Gedoun Comment On Regulatory Notice 22-08
Dear FINRA, Hope the day finds you well. For 15 Years we have been restricted to Index Funds, Commodities, Currencies and Real Estate (Spouse is MD at Investment Banking Firm). The new restrictions Listed under Rule #S7-24-15 are worrisome as we will have even more limitations on where to invest our monies??? We are a household of MBA's, work hard and clearly understand that any purchase or
Notice to Members 05-56
GUIDANCE Options Position and Exercise Limits SUGGESTED ROUTING KEY TOPICS Institutional Legal & Compliance Options Senior management Trading Training Exercise Limits Options Position Limits Rule 2860 Executive Summary