Displaying 1911 - 1920 of 28153 Results
Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate review of
Hello FINRA, I saw you are looking for comments on 21-19, regarding short positions. As I see it, the current US market is full of fraud, with the regulatory agencies being complicit. They are complicit through their complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehana being allowed to happen with impunity
Hello FINRA, I saw you are looking for comments on 21-19, regarding short positions. As I see it, the current US market is full of nothing but fraud, with the regulatory agencies being complicit. They are complicit through their complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedgefunds like Citadel and Susquehana being allowed to happen
January 2024BackgroundIn November 2022, FINRA launched a targeted exam to review the practices of certain member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services (Crypto Assets).1 FINRA reviewed retail communications received from these firms for compliance with FINRA Rule 2210 (Communications with the Public) which requires, among
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsTrading
Executive Summary
The Securities and Exchange Commission (SEC) has adopted amendments to certain rules under the Securities Exchange Act of 1934 (Act) that apply to transactions in low-priced securities traded in the over-the-counter market. Specifically, the SEC amended Rule 15c2-6, which makes it unlawful for a
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
On December 31, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rules 3010 and 3110. The amendments will allow
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
Effective February 1, 1993, market makers in Nasdaq Small-Cap MarketSM securities had to display size in their quotations of at least 500 shares, unless the issues are priced at $10 or more and trade less than 1,000 shares per day. Those issues will remain at the 100 share-display requirement. The list of
TO: All NASD Members and NASDAQ Subscribers
We are pleased to announce that the NASD is now offering a new NASDAQ data service. Subscribers to this service may receive copies of the Monthly Statistical Report (MSR) for all or a select group of NASDAQ issues on either an annual subscription or single-month order basis. Each MSR includes daily, weekly and monthly price, volume and market maker
FAQ regarding Reporting of Mortgage and Asset Backed Securities (Securitized Products)
TO: All NASD Members
The New York Regional Office of the Securities and Exchange Commission has asked the NASD to provide members with a notice regarding the activities of Gerald Greenspan outlined below.
Mr. Greenspan was permanently enjoined by the United States District Court (S.D.N.Y.) from further violations of the federal securities laws in 1960, 1975 and 1980. The 1980 injunction requires