Firms submit a FINRA New Issue Form in order to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request). The Issue Management System replaces the existing FINRA New Issue Form and will allow firms to:
submit new issues;
save draft submissions;
make changes and updates to previously submitted issues;
submit new
INFORMATIONAL
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Individual Investor
Internal Audit
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Affirmative Determination
Internet Trading
NASD Conduct Rules 3350 and 3370
Short Sales
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $75.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $75.00 branch office system processing fee (where such fees have been assessed
The Liquidity section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
I'm writing to ask that you don't change rules that would disallow me from making my own choices on which funds that I choose to invest. There should not be any special litmus test to determine my ability to invest in funds of my choosing. Leverage funds have benefited me greatly. My investments have grown exponentially, especially during lean covid years. Most investors who use these
FINRA Rule 5210 (Publication of Transactions and Quotations) prohibits member firms from publishing or circulating, or causing to be published or circulated, any communication which purports to report any transaction as a purchase or sale of any security unless such member believes that such transaction was a bona fide purchase or sale of such security. Firms may, on a discretionary basis, communicate or advertise their trading activity to the market through one or more service providers that disseminate that information to subscribers and the market. Firms that do so must ensure that such information is truthful, accurate and not misleading, consistent with the requirements of Rule 5210.
Dear Regulators,
I am writing to request that you not impose restrictions on the use of leveraged or inverse funds.
As a personal investor, these products are an important part of my overall investment portfolio. I use a system of reactive rebalancing that employs some leveraged funds to enhance my returns and protect against market drops.
I am aware of how these products work and use them
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. ("Nasdaq"), is filing with the Securities and Exchange Commission ("Commission") a proposed rule change to exempt all securities included in the NASDAQ 100 Index from the price test set forth in NASD Rule 5100 (formerly Rule 3350).
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement. During her time as Head of Enforcement, FINRA brought numerous significant disciplinary actions to protect investors and markets, including its largest-ever enforcement action; prioritized returning money to harmed
