Displaying 11 - 20 of 5778 Results
Regulatory Notice 08-13
FINRA Consolidates the Collection of Short Interest Data; Effective Date: May 15, 2008
Regulatory Notice 11-55
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
Regulatory Notice 16-32
FINRA Announces New Web-based System for the Collection of Short Interest Positions
New OTC Equity Short Interest Data Download and API Guidelines (Effective January 14, 2019)
As part of a technology upgrade, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access. FINRA will change column names and the order in which the columns are displayed in the download files. FINRA will support a new
Notice to Members 06-20
GUIDANCE Short Interest Reporting SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Technology Training NASD Rule 3360 Short Interest Reporting Short Sales Executive Summary NASD is issuing this Notice to inform members of changes to the
Notice to Members 06-14
GUIDANCE Short Interest Reporting Requirements SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training Short Interest Rule 3360 Executive Summary On February 3, 2006, the Securities and Exchange Commission (SEC) approved amendments to Rule 3360 relating to the short interest reporting
Regulatory Notice 17-43
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
Regulatory Notice 12-38
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Notice to Members 07-24
ACTION REQUIRED SUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperationsSenior Management Short Interest Reporting Intermarket Surveillance Group Executive Summary This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month.1 Attachment A outlines the revised Short
Brush Up on Bonds: Interest Rate Changes and Duration
Do you own bonds or have money invested in a bond fund? If so, now is a good time to brush up on two factors that can affect bond prices and fund returns: interest rate changes and a bond's duration.