This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@filling-regfinra.com”. The domain of “filling-regfinra.com” is not connected to FINRA, and firms should delete all emails originating from this domain. Member firms should be aware that they may receive similar phishing emails from other domain
Application of registration requirements to persons inquiring about potential clients' present accounts and other firms and current securities trades.
GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Institutional Customers
Legal & Compliance
Operations
Senior Management
Clearing Firms
Customer Account Statements
DVP/RVP (Delivery versus Payment/
Receive versus Payment)
NASD Rule 2340
NASD Rule 3110
NASD Rule 11860
SEC Rule 10b-10
SEC Rule 15c3-2
SEC Rule 17a-4
Executive Summary
The Securities
(a) Reportable Transactions
Members shall comply with the Rule 7300 Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be compared
INFORMATIONAL
Taping Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3010
IM-8310-2
Taping Rule
Executive Summary
On August 28, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3010(b)(2), also known as the Taping Rule, and NASD
What implementation period would be appropriate to provide members with sufficient time to make the systems changes necessary to comply with this requirement? Change needs to happen as soon as possible, immediately to restore faith in the markets. To make these crooked markets somewhat fair to retail investors. FINRA is considering whether daily or weekly short interest position reporting would
As an investor in our countries “fair & free” stock market the suspicious activity surrounding a few stocks has made myself (and millions of other investors) quite skeptical on the integrity and fairness of the US stock market. The world is watching to see what happens as greedy hedge funds with billions of dollars tinker around with the market with shady (even illegal) tactics that could
I am a new retail investor but I have found quickly a strong sentiment of unfair trading practices and market manipulation by hedge funds that leaves retail traders at significant disadvantages. I appreciate the efforts on behalf of FINRA and the SEC to eliminate these events of malpractice by enforcing the rules that are currently in place, as well as, providing the public with more accurate and
Synthetic Short Positions FINRA should require firms to reflect synthetic short positions in their short interest reports daily. Exchange-listed Equity Securities FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted) daily. Information on Allocations of Fail-To-Deliver Positions Reporting daily allocations of fail-to-deliver positions to
Hello and good evening. I would just like to comment that it makes no sense why the market maker "Citadel" trades on the dark pool that they created not having to report any information while they look at every order we make. Investing in a company should not be playing against the house, this is not a casino, it is an investment for the better of our economy. FINRA (you) reported GME
