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I'm a retail investor. From my perspective, the entire reason for the (increasingly public) debate over short-selling regulations stems from the loopholes in reporting that are being exploited to the detriment of investors at all levels and to the detriment of the integrity of American markets at large. In this context, I believe the language in this Notice does not go far enough to allay my
(a) Appointment by National Adjudicatory Council
Following the filing of a notice of appeal pursuant to Rule 9311 or a notice of review pursuant to Rule 9312, the National Adjudicatory Council or the Review Subcommittee shall appoint a Subcommittee or an Extended Proceeding Committee to participate, subject to Rule 9345, in a disciplinary proceeding appealed or called for review.
(1)
Outreach Follows Recent Efforts to Expand Opportunities for Participation
WASHINGTON – FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry stakeholders from diverse backgrounds to become involved in FINRA’s advisory committees.
“We welcome and encourage industry professionals and other stakeholders to join a FINRA advisory committee, provide
Summary
The annual meeting of FINRA firms will take place on or about Friday, August 19, 2022, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 20, 2022.
The purpose of this Election
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: FEBRUARY 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed NASD Rule of Fair Practice that would require all persons associated with a member firm to provide prior written notice to the firm of certain outside business activities.
The NASD Board of Governors believes the proposed rule is necessary to
Summary
The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.
Firms should note the following key dates in the renewal process:
October 21, 2019
Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
November 1, 2019
Currently, there are display issues with the OTC Transparency Data on the otctransparency.finra.org website for the weeks of March 23 and March 30, 2020. NMS Tier 1 data is being displayed on the NMS Tier 2 and OTCE tabs for both ATS and Non-ATS data sets.
Please note, all downloads and APIs are accurate for the weeks of March 23 and March 30, 2020.
FINRA is currently investigating the issue
SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding the effectiveness of communications with and education of firms, including ways in which FINRA could enhance its engagement with member firms. After careful review of the comments and suggestions received, FINRA is taking a number of