GUIDANCEShort SalesSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementTradingAffirmative DeterminationRule 3370(b)(2)(B)Rule 3370(b)(5)(B)Short SalesExecutive SummaryThere has been discussion in the financial press about the listing of securities on foreign markets without a company's knowledge or authorization. Some reports have suggested that the
Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
Please make it a fair and transparent market for all investors to be on an even trading ground. Impose jail time for anyone violating terms and rules. Compensate retail investors.
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
In not in agreement how shorts are been managed and how SEC are filling rules and there’s no action to thw hedge funds that are shorting. The system is confrontating manipulation and needs to be addressed
Summary
The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and
Proposed Rule Change to Revise the Series 7 Examination Program
Proposed Rule Change to Revise the Series 38 Examination Program
Proposed Rule Change to Revise the Series 37 Examination Program
Proposed Rule Change to Revise the Series 17 Examination Program
