<p>NASD Rule 3010 - Supervision</p>
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
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Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
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Options
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Executive Summary
On September 9, 1998,
Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web
Site
The Neutral Corner Topical Index; Volume 5 - 2008; Curveballs: Unexpected Situations that Arise During a Hearing; Dispute Resolution News; Discovery Arbitrator Pilot; Did You Know; Question and Answer; Mediation and Business Strategies Update; Regional Updates
To whom this may concern, We the people want you to hold short sellers and hedge funds accountable. There is blatant market manipulation going on which effects millions of people across the globe. The dark pools should be abolished. We need visible transparency in the market for fair and honest practice which is preached but not practiced. The growth in interest of retail investment should be an
Exemptive relief is granted based on the following considerations: (1) the contributions were made prior to Individual's employment by the Firm; and (2) at the time of the contributions, Individual had no personal involvement in soliciting new, or participating in existing municipal securities business.
I would like to express my support for FINRA's continued actions to warn investors that they may be out of their depth.
I think that such policies should be revised for the online era, however. Complex products should have category IDs or acronyms associated with their structure, and online sites for the products should be required to list the acronyms corresponding to the product. There
The Financial Industry Regulatory Authority, Inc. (“FINRA”) provides investor education content, security-specific product data (described below) and publicly disseminated trade report on transactions in TRACE-eligible, fixed income securities through the bond facts tool. The data accessed through the tool and the bond facts tool are herein after referred to as the “Bond Facts Tool".
The Web CRD Late Filing Fee Report is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to registered representatives. This report displays a firm's performance in submitting certain U4 and U5 filings in the required time frame.
The information in this report is provided to
INFORMATIONAL
New Registration Category-Rules And Examination
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualification
Legal & Compliance
Operations
Registration
Senior Management
Training
Limited Representative-Private Securities Offerings (Series 82)
NASD Rule 1032
Qualification Examinations
