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SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms
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SEC Approves Changes To Rule 4613—Firm Quotation Requirements; Effective Date: August 2, 1999
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Nominee for Vacant FINRA Board of Governors Small Firm Seat
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Rule Modernization Project
Response Period Expires on: March 1, 2002
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The Financial Industry Regulatory Authority (FINRA) announced today that it is seeking authority to significantly expand the amount of information available to the public on current and former securities brokers through its free online BrokerCheck service.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that effective October 15, 2012, Greg Ahern will join FINRA as Executive Vice President for Corporate Communications and Government Relations.
(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The
(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
1. T+0 settlement 2. Market Makers cannot be hedge funds. 3. Stock in hand rule ie short seller must have found and received stock before it can be shorted. 4. Public list of every entity which short sells a stock. 5. Maintenance requirement to short a stock to be cash only with zero marginable securities used as collateral. 6. Fine for Naked Short Selling enhanced to 1000% of stock's value
The guidance provided in these FAQs pertains to the reporting to FINRA of “short” positions pursuant to FINRA Rule 4560 (Short-Interest Reporting) in OTC Equity securities, as defined in Rule 6420, and securities listed on a national securities exchange.