Instructions for Requesting Entitlement to the Information Requests Application in the Firm Gateway
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make one type of files available: Daily Short Sale Volume Files.
Module 1: Stocks and Stock Options is intended primarily for futures professionals as an introduction to securities and securities law concepts. FINRA will not require broker/dealers to administer the content of Module 1 to securities registrants. Firms should decide on their own whether their employees would benefit from the basic securities overview.
NASDR has filed with the SEC a proposed rule change to create the Rule 9800 Series and to amend certain existing rules of the NASD that would establish procedures to enable NASD Regulation to issue temporary cease and desist orders. The proposed rule change also would grant NASD Regulation authority to take expedited disciplinary actions when temporary or permanent cease and desist orders are
NASDR has filed with the SEC a proposed rule change that would amend NASD Rules 6530 and 6540 to limit quotations on the OTC Bulletin Board® to the securities of issuers that are current in their reports filed with the SEC or other regulatory authority, and to prohibit a member from quoting a security on the OTCBB unless the issuer has made current filings, respectively.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to Conduct Rule 2710. The proposal will provide greater clarity and predictability regarding when securities acquired by members and their affiliates in private placements will be deemed to be underwriting compensation. While securities acquired by an underwriter within 180 days
