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(a) No member or person associated with a member shall cause to be executed an order to buy or sell a security or a related financial instrument when such member or person associated with a member causing such order to be executed has material, non-public market information concerning an imminent block transaction in that security, a related financial instrument or a security underlying the
The purpose of this Election Notice is to notify member firms of the upcoming nomination and election process to fill forthcoming vacancies on FINRA District Committees and District Nominating Committees.
The current District Committee and District Nominating Committee members are included in Attachment A. Information on District Election procedures is included in Attachment B. A candidate
Would like to see real time short interest information in regards to short positions and calls/puts, and failure to delivers on at least a t-3 system if not end of day by 6pm. This would encourage a far more fair and transparent market for retail traders.
I’m in full agreement with most of the changes you have added above. Naked shorts and FTD are reeking havoc on price discovery and there’s little to no visibility on this type of data. Without information and transparency we can’t have a truly free market.
The Neutral Corner – Volume 4—2023
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
It’s easy to lose track of 401(k) accounts if you don’t take them with you. As the years go by, companies might be restructured, sold, or go out of business
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today new initiatives aimed at protecting and educating investors.
I support these modifications. I believe that minimizing the reporting gap will limit some types of short selling abuse and market manipulation. Hourly synchronized aggregation and reporting of this data is possible with modern computing and would limit the gray zones in which HFT’s can exploit informational lag.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) has announced today that it has fined Centaurus Financial, Inc. (CFI), of Orange County, CA, $175,000 for its failure to protect certain confidential customer information.