Displaying 1521 - 1530 of 4653 Results
Last Voting Date: January 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to vote to approve amendments to the NASD By-Laws to require executive representatives of members to update firm contact information electronically, to maintain electronic mail
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA), in coordination with the Securities and Exchange Commission (SEC) and other regulatory authorities, has been monitoring the U.S. broker-dealer subsidiaries of Bear Stearns & Co. Inc. These broker dealers (Bear, Stearns & Co Inc., Bear, Stearns Securities Corp., Bear Wagner Specialists LLC) remain in compliance with the SEC's and FINRA's capital rules.
1. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), what is the format of the LTID and the optional suffix?
2. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), how should Unidentified Large Traders be designated?
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A member inter-dealer quotation system (whether or not also an alternative trading system or “ATS” as defined by Rule 300(a) of SEC Regulation ATS) that permits quotation updates on a real-time basis in OTC Equity Securities must comply with the following requirements:
(a) The member inter-dealer quotation system must establish, maintain and enforce written policies and procedures relating to
I believe in more significant penalties and stricter timeliness for FTDs. The rules are so tight for retail investors but the market makers, brokers, large funds, etc. receive so much leeway. A retail trader should have even opportunities as it pertains to data as well. I believe these rule changes will assist with bringing better information to all. Thank you.
I'd like to see the market have more transparency of shorts. In today's day and age, there should be 8-15 days to see a company's short percentage. The market information should be available to all investors no matter their size. Also, I feel that the "dark pool" system should be abolished. It too can possibly create uncertainty in the market. Thank you.
How about you just make this a simple thing... Instead of financial institutions SELF-REPORTING their short positions, why not actually have a regulatory body go directly into their books, so they can properly extrapolate the information. This way you can monitor things like married puts/calls that create synthetic shorts, and be on top of them on a daily basis.
SummaryLow-priced securities1 tend to be volatile and trade in low volumes. It may be difficult to find accurate information about them. There is a long history of bad actors exploiting these features to engage in fraudulent manipulations of low-priced securities. Frequently, these actors take advantage of trends and major events—such as the growth in cannabis-related businesses or the ongoing
Data transparency is the hallmark of reliability, responsibility, and accountability. As such, all information about short sale positions, short interest, etc. should be publicly and freely available in real time immediately. Failing that, as soon as possible - which, given the electronic nature of these transactions, ought to be virtually immediately. Anything less increases corruption,
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose