INFORMATIONAL
Comment Period Expires: September 6, 2002
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Executive Summary
On October 26, 2001, President Bush signed into law the USA PATRIOT
Dear FINRA Committee members, It is this commenter's genuine hope that short selling is banned as it serves counter-purpose to the two primary functions of the Stock Market, Capital Allotment, and Price Discovery. As such an act would likely remove the need for FINRA, and it is unjust to request this forum to consider self-destruction. Instead, this comment hopes to serve as a basic appeal
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Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
(a) The terms used in the Rules, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws, unless a term is defined differently in a Rule, or unless the context of the term within a Rule requires a different meaning.
(b) When used in the Rules, unless the context otherwise requires:
(1) "By-Laws"
The term "By-Laws" means the
We publish The Neutral Corner to provide arbitrators and mediators with current updates
on important rules and procedures within securities dispute resolution. FINRA’s dedicated neutrals serve parties and other participants in the FINRA forum by taking advantage of this valuable learning tool.
The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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Regulatory Transaction Fees
Comment Period Expires March 30, 2005
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Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD By-Laws
Executive Summary
In August 2004, NASD issued Notice
