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While putting out notices is a (small) step in the right direction, the punishment needs to fit the crime. The current penalties for the majority of already fraudulent, illegal or criminal market activities are fines which represent a minute fraction of the profit gained by perpetuating them. As such, any enforcement (on the rare occasions enforcement actions are even taken) simply represents the
On October 24, 2022, FINRA announced the Small Firm Advisory Committee (SFAC) election for the New York Region. Eligible small firms in the New York Region were mailed a copy of the Election Notice and a ballot to vote in this election. Ballots must be returned no later than November 23, 2022, and the newly elected SFAC member will take office in January 2023.
Candidates
To review the
For Your Information
National Association of Securities Dealers, Inc.
April 1989
NASD Releases Interpretive Summaries Under SEC Rule 19c-4
The NASD recently made available summaries of interpretive letters issued under Securities and Exchange Commission Rule 19c-4. That rule prohibits the major securities markets from listing companies that issue securities or take other corporate actions
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 26, 1986
The amended NASD Rules of Fair Practice, proposed by the NASD's Ad Hoc Committee on Rule and By-Law Amendments, which reviews and revises the NASD's By-Laws, rules and interpretations, are attached for comment by members and other interested persons.
The Committee's review began with adoption
Sec. 11.1 FINRA shall be the sole stockholder of the capital stock of FINRA Regulation.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
The minimum unit of delivery for Unit Investment Trust Securities shall be a single unit of the trust.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
Added eff. Mar. 18, 1983.Selected Notices: 83-69, 10-49.
Sec. 4. (a) A person whose association with a member has been terminated and is no longer associated with any member of Corporation or a person whose registration has been revoked or canceled shall continue to be subject to the filing of a complaint under the Corporation Rules based upon conduct that commenced prior to the termination, revocation, or cancellation or upon such person's
GUIDANCE
Options
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Options
Contrary Exercise Advice
Exercise-by-Exception
Exercise Procedures
OptionsRule 2860Rule 11850
Executive Summary
On August
More oversight and transparency is needed for short interest, options, and derivative products. It is not acceptable that there is a maximum threshold for short interest set at 140% where in actuality it could be much much higher. It also appears that there is no enforcement of false reporting. There is evidence that Citadel has call option contract out larger than shares existed while retail
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.