We have been using some of these funds for years and are more that qualified to make informed decisions on what we invest in. We can make our decisions as we see proper without having to jump through more hoops.
SIPC MaterialsSecurities Investor Protection Corporation (SIPC) publication and member identification materials can be purchased on the Media Source webstore.Fingerprinting Materials If you need a supply of fingerprint cards, FINRA-specific fingerprint cardstock may be purchased from Sterling for $14.00 (includes 25 cards with shipping & handling). To order FINRA-specific
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (1) amend FINRA Rules 6710 and 6750 to provide that FINRA will disseminate information on individual transactions in U.S. Treasury Securities that are On-the-Run Nominal Coupons reported to FINRA’s Trade Reporting and Compliance Engine (“
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
It doesn't make sense in the information age to only make public short interest data on such a low cadence per month. There needs to be stricter requirements on mandating report of short interest. Thank you.
Simplifying digital interactions with FINRA to reduce compliance costs and enable more effective compliance programs.
For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
We need more transparency in the stock market. The market’s volatility doesnt match with the data we have at the end of the day we get information later than others and that is not true capitalism.
