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FINRA's new rules for evolving work models — hybrid and remote —provide member firms greater flexibility for their registered persons to work from home. Our new Residential Supervisory Location (RSL) Rule and Remote Inspections Pilot Program Rule are intended to provide member firms greater flexibility — not less — to allow eligible registered persons to work from home, following the expiration of temporary COVID-19 relief from existing requirements.
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.See the schedule of reporting dates below.2024 Short Interest Reporting DatesSettlement DateDue
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(a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade through its trading facilities and that consists of stocks whose inclusion and relative representation in the group are
S. GOLDMAN ADVISORS, LLC599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022S.G. LONG & COMPANY283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328S.L. REED & COMPANY11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346S2K FINANCIAL LLC5950 HAZELTINE DRIVE, SUITE 305, ORLANDO, FL 32822SABADELL
M FINANCIAL SECURITIES MARKETING, INC.1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209M HOLDINGS SECURITIES, INC.1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207M SHARE CAPITAL LLC200 BRANNAN ST, NO.443, SAN FRANCISCO, CA 94107M STEVENS SECURITIES, LLC100 PACIFICA, SUITE 475, IRVINE, CA 92618M&A CAPITAL HOLDINGS, LLC704
T CAPITAL FUNDING, LLC600 NORTHLAKE BOULEVARD, SUITE 175, ALTAMONTE SPRINGS, FL 32701T&G PRIVATE CAPITAL LLC44 WALL STREET, SUITE 602, NEW YORK, NY 10005T. E. LAIRD SECURITIES, LLC79 OTIS AVENUE, ST. PAUL, MN 55104T. ROWE PRICE INVESTMENT SERVICES, INC.100 E PRATT ST, BALTIMORE, MD 21202T.R. WINSTON & COMPANY, LLC376 MAIN STREET, BEDMINSTER, NJ 07921-2613Mailing Address: P.O. BOX
P & M CORPORATE FINANCE, LLC120 S. RIVERSIDE, SUITE 2100, CHICAGO, IL 60606P G BOOLE, LLC18 NORTH MAIN STREET, SUITE 115, SHERBORN, MA 01770Mailing Address: 30 PEDERZINI DRIVE, MEDFIELD, MA 02052P. A. N. SECURITIES, LP45 GLOVER AVENUE, 7TH FLOOR, NORWALK, CT 06850P.J. ROBB VARIABLE, LLC6075 POPLAR AVE, SUITE 400, MEMPHIS, TN 38119P2 CORPORATE FINANCE, LLC964 EULALIA ROAD NE, SUITE 2,
R. F. LAFFERTY & CO., INC.40 WALL STREET, 29TH FLOOR, NEW YORK, NY 10005R. SEELAUS & CO., LLC26 MAIN STREET, SUITE 300, CHATHAM, NJ 07928R.J. O'BRIEN SECURITIES, LLC222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606Mailing Address: 222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606R.M. DUNCAN SECURITIES, INC.10201 W MARKHAM ST, SUITE 219, LITTLE ROCK, AR 72205R.M
W CAMPION CAPITAL LLC3401 N MIAMI AVENUE, SUITE 230, MIAMI, FL 33127W G SECURITIES, LLC1764 LITCHFIELD TURNPIKE, SUITE 250, WOODBRIDGE, CT 06525W&S BROKERAGE SERVICES, INC.400 BROADWAY, CINCINNATI, OH 45202Mailing Address: 400 BROADWAY, MS-03, CINCINNATI, OH 45202W.G. NIELSEN & CO.3200 CHERRY CREEK DRIVE SOUTH, SUITE 470, DENVER, CO 80209WACHTEL & CO., INC.1701 K STREET
O'TOOLE INSURANCE & SECURITIES14-30 COLLEGE POINT BLVD, COLLEGE POINT, NY 11356OAK HILLS SECURITIES, INC.121 NE 50TH, OKLAHOMA CITY, OK 73105OAK TREE SECURITIES, INC.4049 FIRST STREET, SUITE 129, LIVERMORE, CA 94551-4949OAKLINS DP LLC90 PARK AVENUE, 24TH FLOOR, NEW YORK, NY 10016OAKPOINT SOLUTIONS, LLC100 SOUTH ASHLEY DRIVE, SUITE 1130, TAMPA, FL 33602OAKWOOD CAPITAL SECURITIES, INC.