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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
<p>Whether a proposed standby purchase agreement entered into between affiliate of a member and an issuer in connection with a public offering of the issuer's common stock could constitute an option.<br /></p>
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has named Leslie F. Seidman as a new Public Governor. Ms. Seidman previously served as Chairman of the Financial Accounting Standards Board (FASB) from 2010 to 2013, having been appointed to the FASB as a Board member in 2003.
WASHINGTON—FINRA announced today that it has appointed Bill St. Louis to Executive Vice President and Head of its National Cause and Financial Crimes Detection Program (NCFC). St. Louis, currently Senior Vice President and Firm Group Leader in FINRA’s Member Supervision department, will begin his new role on December 13 and report to Greg Ruppert, Executive Vice President and Head of Member
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance Operations Registration Senior Management
District Elections
Executive Summary
In early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating Committees.
In this
This Friday the 13th, you might take some extra precautions to ward off bad luck. But even if you’re not superstitious, it’s worthwhile to consider how to safeguard your financial situation—not just today, but every day. Use these four tips to ward off bad luck when it comes to your finances.
(a) ApplicationThis Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.(b) Definitions(1) The terms "affiliated member,"
(a) Application
This Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.
(b) Definitions
ACTION REQUIRED
Electronic Communications Networks
Changes Effective: November 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Transaction Reporting
Electronic Communication Networks
Executive Summary
NASD is issuing this Notice to replace and supersede Notice to
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm
ACTION REQUIRED
Electronic Communications Networks
Changes Effective: October 6, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Transaction Reporting
Electronic