Short sale trade data is publicly available for off-exchange (OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF), Alternative Display Facility (ADF), or Over the Counter Reporting Facility (ORF).
As of 11/16/20, Luminex (MPID: LMNX) is no longer a registered ADF Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF). For any questions, please contact FINRA Business Services at (212) 858-4342.
Todos los días en FINRA protegemos a los inversores contra conductas indebidas, ponemos fin al fraude y proporcionamos indemnización a clientes perjudicados. Y lo logramos en parte porque los clientes y otros miembros del público proporcionan información y pruebas esenciales durante el curso de una investigación.
Cada año, realizamos miles de investigaciones de posibles violaciones de las normas, reglamentaciones y leyes relacionadas con la industria de valores.
A menudo, la decisión de un solo cliente de hablar con el personal de FINRA es la clave para destapar una estafa tipo Ponzi o responsabilizar a un estafador financiero.
Quiénes somos
FINRA es una entidad reguladora no gubernamental sin fines de
Earlier this year, FINRA introduced its Transparency Services Infrastructure Initiatives project and created a web page detailing this effort. Items highlighted on this web page include an infrastructure upgrade to the existing TRACE Trade Reporting system web application (TRAQS), a new web application for Issue Management, and enhanced Reference Data tools including firm
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted to FINRA must be made electronically
Before you can buy a house, you will need to shop for—and qualify for—a home loan.
