No naked shorts. More frequently posted information on short sales
Collection of customer information from account application forms.
(a) Requests for Documents or information
Parties may request documents or information from any party by serving a written request on the party. Requests for information are generally limited to identification of individuals, entities, and time periods related to the dispute; such requests should be reasonable in number and not require narrative answers or fact finding. Standard
Simplistic answer. Get all the information and in the shortest time frames, ex: in t+1. Consumers make purchases/sales for products based on reviews and the history of reviews. Why would a security be any different? You wouldn't want to transact anything if you had only a small % of information and come to find out 35 days later that the place you transacted with isn't dealing with its
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors.
INFORMATIONAL
Disciplinary Decisions
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Decisions
Interpretive Material 8310-2
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) publishes disciplinary decisions that meet certain criteria; these criteria are outlined in
INFORMATIONAL
Corporate Debt Securities Transactions Subject to Reporting and Dissemination
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Foreign Deferrals
In-Firm
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
(a) Filing Requirement
Except as provided in Rule 1013(a)(2), all forms required to be filed by Article IV, Sections 1, 7, and 8, and Article V, Sections 2 and 3, of the FINRA By-Laws shall be filed through an electronic process or such other process FINRA may prescribe to the Central Registration Depository.
(b) Supervisory Requirements
(1) In order to comply with the supervisory procedures
