SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
Upcoming District Committee and District Nominating Committee Elections
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
(a) The Director will not serve any claim that is deficient. The reasons a claim may be deficient include the following:
(1) A Submission Agreement was not filed by each claimant;
(2) The Submission Agreement was not properly signed and dated;
(3) The Submission Agreement does not name all parties named in the claim;
(4) The claim does not specify the customer's city and state at the
FINRA’s Financial Intelligence Unit (FIU) and Vulnerable Adults and Seniors Team (VAST) are issuing this Threat Intelligence Product (TIP), which provides an overview of FINRA’s observations regarding the vulnerability of senior investors to investment scams, the devastating consequences for the victims and the importance of education about financial scams to prevent initial victimization and re-victimization.
Let the buyer beware. It is the buyer's responsibility to inform themselves or seek help. This "permission" in a breach of personal freedom. This ain't the country club....
I oppose restrictions to my right to invest. As long as the fund clearly inform the investors how it works, the risk is up to the investors, not to the regulators.
Please do not limit our abilities to make choices. We are more informed about our needs and investments than government is.
Background
Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.
FINRA has
The following frequently asked questions provide information about the Central Registration Depository (CRD).
