INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
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
Hello FINRA, First, off thank you allowing public comment on the need to better regulate options and trades involving short positions and shorting instruments. Please let ask a simple question: If Failure to Delivers on the Threshold list can be satisfied with borrowed shares, who is the owner of the settled delivery? Why have a Threshold list at all if it is ignored when the settlement period is
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the second and third quarters of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-22
April 8, 1985
NASDAQ
FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
I realize Im a little past the deadline for submitting comments, but in the interest of providing as many data points to decision-makers as possible, Id like to share some thoughts.
I have managed my own finances since I graduated from college at 21. After nearly three decades of hard work and sound investment, I retired from the rat race at 50. Surprisingly, I was able to accomplish this goal
Nomination of a Small Firm NAC Member Candidate
By Bill St. Louis, Executive Vice President and Head of FINRA EnforcementFINRA Enforcement works on the front lines of investor protection. This blog post discusses some of the key objectives that drive this critical work.First, some brief background about FINRA and the role Enforcement plays as part of a multi-faceted regulatory program.FINRA helps ensure that everyone can participate in the
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Updated as of March 25, 2024FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes. These retrospective reviews look at the
FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes.