Board Appoints Industry Governors, Discusses FINRA’s Long-Term Financial Planning and Hears Latest From Key Stakeholders
FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023.
The second enrollment period is available to those who terminated their registration between March 15, 2020, and March 14, 2022.
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Agreements
Subscriber Agreement Information (Terminals & Snapshot Data)
Subscriber Agreement v 7.2
Subscriber Agreement Comparison v 7.1 to 7.2
Subscriber Packet v 7.2
Subscriber Packet Comparison of Versions 7.1 to 7.2
Completed agreements can be sent electronically to TRACE Data Services.
Related Products
Real-Time Data Information
Additional Information
View Trading Activity Fee Self-Reporting Form
Executive Summary
On July 28, 2003, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the Trading Activity Fee (TAF) to establish a new rate for covered equity securities.1 NASD had been collecting the TAF and determined that the equity rate needed to be increased to ensure adequate funding levels for
I support this effort to improve the accuracy, requirements, and meaning behind the short interest metric. A more expansive reporting requirement that captures synthetic short positions would allow FINRA to be better able to understand market participants’ short sale-related activity. As synthetic short positions provide equivalent exposure, information on them may also provide investors and
While requiring disclosure of additional information regarding complex financial products seems good in principle, it seems quite possible that this will be yet another textual agreement that almost nobody reads and most people click through. Figuring out who needs the information provided and how to present it in a way that they will understand it seems important.
However, requiring testing to
Finra should absolutely adopt all of the above changes. Any regulation that can be added for transparency in a free market should be added. All of this information should be reported daily and available to everyone to install confidence in a free market system. Above and beyond this, accountability for failure to comply should come with harsher penalties then small fines that can be incurred as a
Business Continuity Plans
Action Requested By: May 13, 2002
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Executive Summary
The NASD is seeking comment from NASD members, investors, and other
