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SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing a suggested Customer Suitability Statement and Agreement to Purchase Form to assist members in complying with SEC Rule 15c2-6.
BACKGROUND AND SUMMARY
Effective January 1, 1990, the SEC adopted
Accurate short sale tracking is obviously important, but it’s only as useful as the information given on dark pool activities. Dark pool existence, and how those exchanges are able to integrate shares into major exchanges is beyond fraudulent. I appreciate your efforts, but share selling will never be put into check until dark pools are eliminated.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing a suggested Customer Suitability Statement and Agreement to Purchase Form to assist members in complying with SEC Rule 15c2-6.
BACKGROUND AND SUMMARY
Effective January 1, 1990, the SEC adopted
The Neutral Corner, Volume 6—2008
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and certain
As all short interest affects market pricing, all transactions between market participants that may be used to mask or hide official short interest numbers should be reported fully and transparently. It is against the idea of a free market to withhold short interest data from all market participants, including retail investors, and to only provide information to professionals.
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 4, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
Throughout his tenure as Chairman of the SEC, Jay Clayton has been a strong advocate for investors and for fairness and integrity in our securities markets, and we have valued his partnership and support in overseeing the securities industry. Chairman Clayton has put forward an array of initiatives that promote the interests of retail investors, strengthen the effective regulation of securities
The following frequently asked questions provide information about the Central Registration Depository (CRD).