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Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today new initiatives aimed at protecting and educating investors.
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.
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 23, 1986
The National Association of Securities Dealers, Inc. (NASD), requests comments on a proposed amendment to Schedule D of the NASD By-Laws that would authorize the NASD to halt over-the-eounter trading in a NASDAQ security pending the dissemination of material news by the issuer. Schedule D
I believe it’s the utmost importance that the short report of any kind, should be an information declared daily. Only then we shall have a market more equal and attractive to retail and everyone else. I appreciate very much the opportunity to let our voices be heard. Thanks, Felipe Borges
I would like to see more information and transparency in reporting of short sale positions. I am a retail investor and would like an even playing field with hedge funds. I understand that other markets have stopped the short share positions to stimulate the economy. Thank you for your time
Summary
Member firms are increasingly using third-party vendors to perform a wide range of core business and regulatory oversight functions. FINRA is publishing this Notice to remind member firms of their obligation to establish and maintain a supervisory system, including written supervisory procedures (WSPs), for any activities or functions performed by third-party vendors, including any sub-
Confidentiality is the cornerstone of the Ombuds practice. Your identity — and the matters you bring to our attention — are protected. When you contact FINRA's Office of the Ombuds, you can expect to talk to someone who will listen attentively to your concerns.
(a) Unless the parties agree otherwise, within 60 days from the date a discovery request is received, the party receiving the request must either:
(1) Produce the requested documents or information to all other parties by serving the requested documents or information by first-class mail, overnight mail service, overnight delivery service, hand delivery, email or facsimile;
(2)