FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
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Senior ManagementLegal & ComplianceOperationsRegistration
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EXECUTIVE SUMMARY
The NASD reminds members that the NASD By-Laws and Rules of Fair Practice require that complete and accurate information be provided on Forms U-4 and U-5 and that members are responsible for investigating a
FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday. The elected Governors include: Large Firm Governor — John Vaccaro, Chair and CEO, MML Investors Services; Head of MassMutual Financial Advisors; Mid-Size Firm Governor — James Crowley, CEO, Pershing Advisor Solutions; Senior Executive Vice President, Global Head of BNY Pershing Small Firm Governor — Jennifer Szaro, Chief Compliance Officer, XML Securities
What types of effective educational interventions have the highest potential to influence the behavior of investors, particularly newer investors? What are the costs of implementing such interventions? A great way to influence newer investors is by informing younger generations via social media platforms. As a young adult, I know that most people (regardless of race or income status) from the age
Rule Effective April 21, 1999
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Senior Management
Advertising
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SUGGESTED ROUTING
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Legal & Compliance
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Systems
Trading
Executive Summary
In March 1998, the Securities and Exchange Commission (SEC) approved new National Associationof Securities Dealers, Inc. (NASD®) Rules
Anything that could be done to increase simplicity in the rule book would be a huge benefit to the market. I AM NOT SAYING TO DECREASE REGULATION: I am advocating for an increase of regulation with incredibly simple language so that it is accessible to anyone. OVERSIGHT AND TRANSPARENCY SHOULD BE THE UTMOST AND ULTIMATE PARADIGM. Increase transparency on all positions, real and synthetic, long,
REQUEST FOR COMMENT
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Comment Period Expires May 20, 2005
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KEY TOPICS
Advertising
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Variable Contracts
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NASD Rule 2210
Executive Summary
NASD is proposing to amend
To Whom It May Concern, I believe FINRA themselves said it best in their proposal, "FINRA believes this information would assist FINRA in understanding the scope of market participants’ short sale activity, specifically regarding the use of less-traditional means of establishing short interest." My only question is why in the world has FINRA not required ALL short interest? Isn't
