The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
I would like to have equal transparency among all investors and eliminate dark pool trading and other off site trading venues that the majority of retail investors do not have access to. Fines for cheating are not enough. Liquidate institutions who fail to deliver!
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On April 22,1997,the Securities and Exchange Commission (SEC) approved amendments to the Interpretation on the Release of Disciplinary Information (NASD® IM-8310-2).These amendments authorize the release of public information on disciplinary complaints and non-final disciplinary
Many times I’ve visited your site and don’t believe the short interest numbers to be correct . We need transparency in the markets so the media cannot twist words however they seem appropriate for their agenda . I see the world moving to fascism it’s started to look the the beginning of world war 2 .
This request for exemptive relief is granted based on the Firms’ representation that the Contribution was made by an employee who does not and has never engaged in the solicitation of municipal securities business, the imposition of certain “information restrictions” and other Firm-wide compliance measures, a Firm- imposed “censure” and compensation restrictions, and the return of the Contribution.
May 2, 2003The 2nd Quarter 2003 OATS release currently scheduled for July 28, 2003, contains certain enhancements that will require coding changes on the part of member firms and OSOs. Therefore, NASD is providing advance notice to members and OSOs so that they may plan accordingly. NASD is expecting to publish the full Technical Specifications by mid-May. These enhancements are being implemented
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
