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I have been investing for a long time now and have seen many of the tricks the large companies use to turn large profits. One of the worst treatments I have witnessed, was the way the CMKX share holders were treated as their company was naked short sold into oblivion. It was later found out that there were millions of naked short transfers out there and when the cert pull happened there were some
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Electronic Filing
Regulatory Notice
Referenced Rules & Notices
NASD Rule 3170
NTM 06-61
Key Topics
Electronic Filing Requirements
Suggested Routing
Compliance
Legal
Operations
Senior Management
Executive Summary
This Notice provides answers to frequently asked
SUGGESTED ROUTING*
InstitutionalLegal & ComplianceMutual FundOperationsTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has received a number of complaints from investors in mutual funds that have no front-end sales loads but that have contingent deferred sales loads (CDSLs). The NASD intends to investigate the
SUGGESTED ROUTING
InstitutionalLegal & ComplianceOperationsSystemsTrading
On August 25, 1994, the NASD issued Special Notice to Members 94-68 (Special Notice) dealing with the NASD's recently approved short-sale rule (Rule). In that Special Notice, the NASD set forth a description of the Rule, provided answers to questions concerning the operation of the Rule, and included the
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
At its November 1994 meeting, the NASD Board of Governors (Board) approved the issuance of a Notice to Members soliciting member comment on a proposed amendment to Article III of the Rules of Fair Practice. The proposed rule would require registered persons to
GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Institutional Customers
Legal & Compliance
Operations
Senior Management
Clearing Firms
Customer Account Statements
DVP/RVP (Delivery versus Payment/
Receive versus Payment)
NASD Rule 2340
NASD Rule 3110
NASD Rule 11860
SEC Rule 10b-10
SEC Rule 15c3-2
SEC Rule 17a-4
Executive Summary
The Securities and
Summary
Several firms have recently informed FINRA that malicious actors are using registered representatives’ names and other information to establish websites (“imposter websites”) that appear to be the representatives’ personal sites and are also calling and directing potential customers to use these imposter websites. Imposters may be using these sites to collect personal information from
SPAC "units" often consist of shares and warrants — or a fraction of a warrant. The terms of these warrants can vary greatly. Be sure you understand the terms of the specific warrants you are considering as well as the risks associated with the offering.
FIA PTG Principal Traders Group 2001 K Street NW, Suite 725, Washington, DC 20006 | Tel +1 202.466.5460 March 8, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Regulatory Notice 15-13: Trading Activity Fee (TAF), May 5, 2015 Dear Ms. Mitchell: The FIA Principal Traders Group (“FIA PTG”) 1 appreciates the opportunity to comment