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INFORMATIONAL
Decimalization
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Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and Exchange Commission
The very fabric of America's growth and wealth (much of the wealth is given to almost the whole world) has been based on the ability of the average American Citizen to exercise his/her right to decide what is proper and acceptable for them to do, barring illegal acts under our Constitution and State Laws. The idea that we need someone (a regulator) to oversee our investment choices (
Dear Regulators, As an investor, I, not regulators, should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I agree that there should be warning agreements that need to be checked that an investor understands what they are getting into and the risks, JUST AS ALREADY EXISTS. NO
This attempt at preventing investors from making investments of their choosing is un-American and appears to be another way to further stack the deck against individual investors. As if the un-punished crime publically commited by Robinhood with them protecting hedge funds and stopping profits by a large group of small investors wasnt bad enough, this further rigs the game to ensure more small
Statement From FINRA Chairman and CEO Richard G. Ketchum on the Report of the Special Review Committee of the FINRA Board of Governors
FINRA hosted its seventh annual Diversity Summit on April 2 in New York. Firm leaders, diversity practitioners and human resources professionals in the financial services industry came together to learn and exchange ideas on the practical implications associated with creating a corporate culture that cultivates diversity of thought to drive innovation and creative problem solving.
Check out our
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Regulatory Obligations and Related Considerations
Regulatory Obligations
FINRA and the national securities exchanges have adopted rules requiring their members to comply with Exchange Act Rule 613 and the CAT NMS Plan FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) (collectively, CAT Rules), which cover reporting to the CAT; clock synchronization; time stamps; connectivity and
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
INFORMATIONAL
Displaying Customer Limit Orders
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Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own