Comment Letter to the Financial Industry Regulatory Authority Inc. (FINRA) re:
Request for Comment on the Effectiveness and Efficiency of its Requirements Relating to Day Trading; Regulatory Notice 24-13
Request for Comment on the Effectiveness and Efficiency of its Requirements Relating to Day Trading; Regulatory Notice 24-13
The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify the Application of the Minimum Bid Price Compliance Periods and the Delisting Appeals Process for Bid Price Non-Compliance in Listing Rules 5810 and 5815 Under Certain Circumstances (Release No. 34–100767; File No. SR– NASDAQ–2024–045)
Order Competition Rule (File No. S7-31-22); Regulation Best Execution (File No. S7-32-22); Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (S7-30-22); Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23)
Request for Information on the Treasury Department’s work to develop a national strategy for financial inclusion; Docket No. TREAS-DO-2023-0014
Request for Comment on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; File No. S7-12-23
Order Competition Rule (File No. S7-31-22); Regulation Best Execution (File No. S7-32-22); Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (S7-30-22); Disclosure of Order Execution Information (S7-29-22)