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Effective Date: October 26, 2016The Financial Industry Regulatory Authority, Inc. ("FINRA") provides FINRA widgets (the "Widget(s)"), and the data and information available therein through any underlying databases (the "Content"), as available on or through the FINRA Website (the "FINRA Website"). This FINRA Widget terms of use ("Terms of Use")
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 21, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 18
Must enforce the rules first and foremost. 2nd borrowing of shares once off each share. 3rd Some type of proof the short was covered or the ftd was paid. None of this go short then cover long? 4th if naked shorting is illegal have a system that keeps track of the shares not allowing a float to be bought and sold several times over. 5th enforcing rule it is illegal to loan out shares on cash
Questions and Answers on FINRA’s Eligibility Proceedings for Firms Participating in the Securities and Exchange Commission’s (“SEC” or “Commission”) Share Class Selection Disclosure Initiative (“SCSD Initiative”).
To guide firms participating in the SEC’s SCSD Initiative, FINRA is issuing the following questions and answers regarding the statutory disqualification process. Information contained
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on the compensation arrangements for investment advisory activities of registered representatives who are also registered as investment advisers and are conducting their
Summary
FINRA is proposing formal procedures for bringing actions against non-associated persons who cheat or misbehave during a FINRA qualification examination. Although there are few instances of cheating, because persons who are not yet associated with a member firm may take the Securities Industry Essentials (SIE) examination or other FINRA qualification examinations, formal procedures are
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
In Notice to Members 85-12 (February 15, 1985), the NASD set forth its views that, on accepting a customer limit
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
Summary
A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) code, to provide the authentication. The