May 2006
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to NASD's routine examinations of firms. While each firm must establish its own compliance
Yes, this rule should be changed. Retail investors should have a chance to transparent data and access to all data. Times have changed and retail investors want full transparency to make this a truly free market, retail investors are left in the dark and are always given outdated data and limited access
ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsSenior Management
Short Interest Reporting
Intermarket Surveillance Group
Executive Summary
This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month.1 Attachment A outlines the revised Short
As an investor, I feel hedge funds are exploiting some rules and feel somewhat unaffected by them It would be for the most interest, that the short sales were reported hourly, and in case of borrowing shares, that those shares are accounted and tracked, and blocked for trading for a minimum of 15 trading days before being released again
The Reasonable Diligence for Private Placements section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
(a) Requirements for Participation in Certain Public Offerings
No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2).
(1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
enough is enough. If you are going to short you need to disclose. There is way too much manipulation favoring institutions and market makers. This is supposed to be America where everyone gets a fair shot. As a veteran I beg you to make the markets fair and ENFORCE your rules. The little guy needs you.
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® requests comment on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice intended to regulate the anti-dilution provisions of warrants received as underwriting compensation. The amendment would provide
INFORMATIONAL
NASD By-Laws Amendments
Effective Date: December 1, 1999
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Associated Person Definition
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive
