Sec. 11.5 (a) The Board may make such rules and regulations as it may deem expedient, not inconsistent with law, the Restated Certificate of Incorporation, or these By-Laws, concerning the issuance, transfer, and registration of shares of capital stock of FINRA Regulation. The Board may appoint, or authorize any principal officer to appoint, one or more transfer agents or one or more
Sec. 11.4 (a) A record of all certificates representing capital stock issued by FINRA Regulation shall be kept by the Secretary or any other officer, employee, or agent designated by the Board. Such record shall show the name and address of the person, firm, or corporation in which certificates representing capital stock are registered, the number of shares represented by each such
This rule is no longer applicable.
The term "stock" includes voting trust certificates, certificates of deposit for stocks, rights, warrants, and other securities of a type classified for trading as stocks by the Exchange.
Amended:
March 26, 1970.
Regulatory Obligations
Regulation SHO Rules 200 to 204 require firms to address risks relating to market manipulation, market liquidity and investor confidence by regulating excessive and “naked” short sales so that purchasers of securities from short sellers receive their securities positions in a timely manner. Regulation SHO requires firms to appropriately mark their securities orders;
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Hello, I will keep this as respectful as possible, and please understand, many of us retail investors are feeling EXTREMELY frustrated with blatant fraud in the marketplace. I'll bullet out a few things I'm shocked by which indicate what is hard not to translate as intentional lack of controls and transparency. I can bucket my requests into two simple terms: 1.) Controls and 2.)
A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
Pursuant to applicable trade reporting rules, members must indicate on trade reports submitted to FINRA whether a transaction is a short sale or a short sale exempt transaction ("short sale reporting requirements"). The short sale reporting requirements apply to transactions in all NMS stocks, as defined in Rule 600(b) of SEC Regulation NMS. Thus, all short sale transactions in these
The Monthly Short Sale Transaction Files provide detailed trade activity of all short sale trades executed and reported to a FINRA <a href="/filing-reporting/trade-reporting-facility-trf">Trade Reporting Facility (TRF)</a> or FINRA’s <a href="/filing-reporting/alternative-display-facililty-adf">Alternative Display Facility (ADF)</a> during normal market hours as well as after-hours. The Short Sale Files include only trades reported to a TRF or ADF for public dissemination purposes (i.e., media-reported trades).
