I am invested in many stocks that I feel have naked shorts in them. I strongly suspect that I even own some in $AMC. I do not feel the market is fair if this is allowed to happen. It gives already very rich entities an extremely unfair advantage in trading. I would feel a lot better about investing more money in the market if I knew that criminals were not just fined, but held accountable in ways
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
(b)
(5) OFFICERS
/01 Reserved.
/02 Reserved.
/03 Reserved.
/06 Limitations on Principal Executives
Principal Executives may be part-time employees, subject to the prior approval of the member organization pursuant to Exchange Rule 346(e).
(f) PRINCIPAL PLACE OF BUSINESS
/01 Criteria
In order to satisfy the rule's requirement that a member organization's principal place of
The following terms shall have the following meanings for purposes of the Rule 6640 Series.
(a) "OTC Reporting Facility" means the service that, among other things, accommodates reporting of transactions in direct participation programs (DPPs). The OTC Reporting Facility comparison function will not be available for those DPPs that are not eligible for clearance and settlement through
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
(b)
(5) OFFICERS
/01 Reserved.
/02 Reserved.
/03 Reserved.
/06 Limitations on Principal Executives
Principal Executives may be part-time employees, subject
Summary
FINRA has adopted amendments to its rules to clarify the application of FINRA rules to security-based swaps (SBS):1
FINRA has adopted a new Rule 0180 (Application of Rules to Security-Based Swaps), which, along with conforming amendments to Rule 9610 (Procedures for Exemptions—Application), will become effective February 6, 2022. The new rule replaces the expiring temporary Rule 0180
Before investing in stocks, also referred to as equities, take time to gather the information necessary to make an informed investment decision, a process commonly known as due diligence.
The Financial Industry Regulatory Authority (FINRA) is thinking of regulating a broad range of public securities they deem "complex". This scheme is MISGUIDED and could deny me the freedom to achieve long-term security. The scheme is arbitrary and unworkable and would allow
"BIG BROTHER" to say what the public can or cannot purchase in the public securities
People should be allowed to invest their disposable income however they see fit. I worked for it, gave the government their share, and now you want to tell us how to spend the remainder? This type of regulation will hurt market growth by deterring people from investing as they will no longer be allowed to invest they way they see fit for their long term goals. This also makes FINRA look like they
