Displaying 1551 - 1560 of 28153 Results
There is a crime spree running free in the stock market and nobody is doing a thing about it. Naked shorting is illegal, and should punished harshly and published for the world to see. If I sell you something I don’t own, that is called fraud, and I would end up in jail. It should be just as illegal to sell shares that don;t exist. The perpetrators of this should get a minimum 5 year prison
The Business Continuity Plans (BCPs) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Dear FINRA, I saw you are looking for comments on 21-19, regarding short positions. Here are my thoughts: -Naked shorting is illegal and conditions need to be met by regulatory agencies to ensure it doesn't happen. - Short positions should need to be reported daily by funds and market makers, and public notice needs to be reported daily on a public website for that purpose, for all holdings
Summary
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
Beginning Monday, August 14, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps).
TDDS 2.1 subscribers should ensure their systems can accept the higher data rates. The TDDS 2.1 data rate change does not impact any of the ORF reporting applications (FIX and TRAQS
SummaryFINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registered Representatives
Research
Trading
Executive Summary
Through this Notice, NASD Regulation, Inc., is announcing that the electronic version of the NASD Manual is now accessible on the NASD RegulationSM Web Site (www.nasdr.com). With the advent of Internet availability, the primary method to
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org”. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.
The domain of “invest-finra.org” is not connected to FINRA and firms should delete all emails
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Syndicate
Systems
Technology
Trading
Executive Summary
As the year 2000 approaches, organizations throughout the world are facing the formidable challenge of ensuring that their own computer systems, and other computer systems they depend upon, will continue to operate successfully when processing data/
Last Voting Date: January 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to vote to approve amendments to the NASD By-Laws to require executive representatives of members to update firm contact information electronically, to maintain electronic mail