(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
Good Afternoon FINRA, I'm emailing you regarding the proposed rules 21-19 about short positions. The current US market is completely fraudulent with ZERO incentive to do right or disincentive to avoid fraud, with the regulatory agencies being complicit through their complacency. Decades of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
Executive Summary
The Board of Governors of the Federal Reserve System (Fed) is adopting several amendments to Regulation T (Reg. T), the regulation that covers extensions of credit by and to brokers and dealers. These amendments reflect consideration of the comments submitted in response to the proposed rule issued by the Board for public comment on June 29, 1995, and reprinted in Notice to
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Executive Summary
On February 21, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) an amendment to NASD ® Conduct Rule 2340 to regulate the disclosure of values for unlisted and illiquid direct participation program (DPP) and
FINRA is examining firms’ offering of, and services provided to, Special Purpose Acquisition Companies (“SPACs”) and their affiliates (e.g., sponsors, principal stockholders, board members, and related parties). Unless otherwise noted, the relevant period for each request is July 1, 2018, through September 30, 2021 (the “Relevant Period”). In addition, if your response varies over the Relevant Period, please explain the differences in your response.
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
As of May 25, 1994, the following bonds were added to the Fixed Income Pricing System. These bonds are not subject to mandatory quotation:
Coupon
Symbol
Name
Maturity
AKST.GA
AK Steel
10.750
4/1/04
AMI.GG
Amer Med Int'l
8.250
4/1/08
CCB.GA
Coca Cola
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 30, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
DLMH.GA
Delaware Mgmt. Holdings
10.250
3/15/04
BVLF.GA
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.
ACTION REQUESTED
Limit Orders — Manning
