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 guidance published by the
Frequently asked questions about public offerings
The public needs more transparency and FINRA should put out as much legitimate and accurate information as possible so the “good guys” can at least START to TRY to put an end to the massive corruption and manipulation of our “FAIR & FREE” markets.
Sec. 2. Upon request of the Secretary of the Corporation, each prospective committee member who is not a Governor shall provide to the Secretary such information as is reasonably necessary to serve as the basis for a determination of the prospective committee member's classification as an Industry or Public committee member. The Secretary shall certify to the Board each prospective
(a) A party may make a motion asking the panel to order another party to produce documents or information if the other party has:
• Failed to comply with Rules 13506 or 13507; or
• Objected to the production of documents or information under Rule 13508.
(b) Motions to compel discovery must be made, and will be decided, in accordance with Rule 13503. Such motions must include the
(a) A party may make a motion asking the panel to order another party to produce documents or information if the other party has:
• Failed to comply with Rule 12506 or 12507; or
• Objected to the production of documents or information under Rule 12508.
(b) Motions to compel discovery must be made, and will be decided, in accordance with Rule 12503. Such motions must include the
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
SIPC Materials
Securities 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
GUIDANCE
Issues Relating to the SEC's Adoption
of Regulation SHO
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Order Audit Trail System (OATS)
Order Marking
SEC Regulation SHO
Short Sales
Executive Summary
NASD, in conjunction with The Nasdaq Stock Market, Inc. (NASDAQ),
is
