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K CAPITAL LLC805 THIRD AVENUE, FLOOR 14, NEW YORK, NY 10022K. W. CHAMBERS & CO.7800 FORSYTH, 5TH FLOOR, CLAYTON, MO 63105KA ASSOCIATES, INC.2121 AVENUE OF THE STARS, 9TH FLOOR, LOS ANGELES, CA 90067KAHN BROTHERS LLC555 MADISON AVENUE, SUITE 1303, NEW YORK, NY 10022-3301KAL CAPITAL MARKETS LLC3738 BAYER AVENUE SUITE 103, LONG BEACH, CA 90808KALORAMA CAPITAL, LLC1718 22ND ST NW, WASHINGTON
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Neutral Corner – Volume 2 – 2018
Mission Statement
Developing an Effective Med-Arb/Arb-Med Process (By Edna Sussman, FINRA Arbitrator and Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Portal Reminder
Practising Law Institute (PLI) Securities Arbitration 2018: September 26, 2018
SEC Rule Approval
Special Proceeding for
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of November 13, 1989, the following 19 issues joined the NASDAQ National Market, bringing the total number of issues to 2,712:
Symbol
FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the day (i.e
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registration
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) is informing NASD members of the 1999 District Committee members and the District Nominating Committee members.
Questions concerning this Notice may be directed to the District
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1989, the following 18 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to 2,778
Short selling of stocks, payment for order flow (PFOF) and Dark Pool trading should be banned completely. Shorting was banned by the SEC during the 2008 financial crisis and it has been banned in several markets worldwide. Shorting has caused promising companies to disappear due to naked shorting, manipulation and corruption that is rampant and obvious with no rule or law enforcement. Full
GUIDANCEExecutive RepresentativesEffective Date: May 14, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementExecutive RepresentativeRule 1150Executive SummaryOn March 29, 2004, the Securities and Exchange Commission (SEC) approved a rule change to require members to review and, if necessary, update their executive representative designation and contact information