FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
INFORMATIONAL
Notices to Members
SUGGESTED ROUTING
KEY TOPIC
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
This category mapping is provided as a tool to assist member firms in understanding Rule 4111. The terms used in this mapping are defined in Rule 4111, which controls their meaning. This mapping guidance will be updated publicly as needed.
The table below maps the disclosure events that are relevant for Rule 4111 (Restricted Firm Obligations) by category to the
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order
Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to Schedule E that would require compliance with its provisions if a member participating in a distribution of a public offering of
The problems are numerous first of all the dark pools account for 60% of transactions that way price doesn't go up when people buy. Also short positions never have to cover because they hide them in deep in the money options and just kick the can down the road. You can see examples with stocks fail to deliver and being on the threshold list - it matters not they never cover and get away with
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
