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FINRA has received a number of questions relating to a corporate action and trading halt in the Series A Preferred Shares of Meta Materials, Inc. (Meta Materials) that traded under the symbol MMTLP. This Investor Insights article provides general information about how corporate actions and trading halts are processed as well as specific information related to MMTLP.
Corporate Actions—FINRA
To: All NASD Members and Other Interested Persons
COMMENT PERIOD CLOSES ON: AUGUST 17, 1984
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on possible amendments to restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ The proposed amendments, which are discussed
Background
A critical part of the registration process in the securities industry is the background investigation of applicants for registration and the timely and accurate reporting of information to the Central Registration Depository (CRD) system via the Form U4 (Uniform Application for Securities Industry Registration or Transfer).
When a firm wants to hire a registered representative, it
(a) Party Portal
(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraph (a)(2). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other extraordinary
(a) Pre-hearing
After a Respondent's answer has been filed and Documents have been made available to that Respondent for inspection and copying pursuant to Rule 9251, the Respondent or the Department of Enforcement, without leave of the Hearing Officer, may make a motion for summary disposition of any or all the causes of action in the complaint with respect to that Respondent, as
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached.
Over the past several years, the Association's Ad Hoc Committee on
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
To whom it may concern, I feel that things could go better if rules which are passed are enforced. Shorts and naked shorts should be closed and not covered because they(hedge funds with short positions) just use illegal ways for covering. Using the rules to over manipulate a stock (AMC, GME) isn't fair market and harsher punishment should be the consequences. Jail time, fines which start in
Summary
FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).
Questions concerning this Notice should be directed to:
Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
Blake Snyder, Senior Director, Member