GUIDANCE
Fee Increase for Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Extension of Time Requests
Fees
Regulation TSchedule A to NASD By-Laws
SEC Rule 15c3-3
Executive Summary
On May 15, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
Any new rules to regulating shorts would be very welcome as a retail investor. As far as I’m concerned, these are the biggest problem in enforcing REG SHO and regulation of the shorting market is the T2 settlement period which obscures net positions for the average investor. And the other is the blurred line of market makers and hedgefunds. Hedgefunds can easily parade themselves as “bona fide”
Please, as an Investor in the US markets I never understod how much manipulation there is. I invest my money and get robed by the unorthodox ways of manipulating the markets by the big market makers and hedgefunds. They short stocks til infinity Buying and selling thru dark pools and of the books trying to fix the price and leaving retail investors BLEEDING right before the eyes of the SEC and
WASHINGTON, D.C. — The Financial Industry Regulatory Authority's Board of Governors today approved a proposal designed to help retail customers understand and compare transaction costs in fixed-income securities. The proposal, subject to the approval of the Securities and Exchange Commission, would require member firms to disclose on retail customer confirmations the "mark-up" or
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
NASD Regulation Delays Implementation Date Of Phase III Of OATS From October 31, 2000 To December 15, 2000
On August 30, 2000, NASD Regulation, Inc. (NASD RegulationSM ) filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule proposal that extends the implementation date of Phase III of the Order Audit Trail System (OATSSM) to December 15, 2000. As provided
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
2019 Involvement and Election Process Overview
FINRA announced today that it has permanently barred Richard Adams, a former registered representative of CISC, Inc., from the securities industry for churning customers’ accounts and other securities rule violations.
