INFORMATIONAL
Corporate Debt Securities Transactions Subject to Reporting and Dissemination
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Foreign Deferrals
In-Firm
Proposed Rule Change to Revise the Series 26 Examination Program
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
I am a novice retail investor and learning more each day. Here are a few remarks: 1. If naked or synthetic short is illegal, why allow it to happen? A company that issued 30 million shares should not be trading 100 million shares. 2. Rule breakers should pay fine to security agencies (SEC, FINRA, NTCC, etc.), compensate clients, and be restricted from trading certain stocks for a period of time.
Q: If I am an existing subscriber or vendor of the SPDS (Structured Products Dissemination Service) will I automatically receive the new ABS data set on June 1, 2015?
A: Existing subscribers or vendors of SPDS will automatically receive disseminated transactions in publicly traded ABS. No changes to the vendor agreement are required. Please note: Rule 144A ABS transactions will be disseminated
By implementing rules that are so easily maneuvered you’re at best turning a blind eye to naked shorting (fraud) and at worst facilitating fraud and the demise of the trust in American Institutions.
Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
SEC Approves Amendments to FINRA Rule 4570
Enhanced reporting on short sales in a timely manner is long overdue. These new rules can and will create a healthier market, far from perfect, but better than yesterday.
It is my constitutional right to invest my personal funds in any form I choose to invest them. Any and all forms of legislation prohibiting an individual from doing so would be a serious overreach and threat to our constitutional rule of law!
