FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 21, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 20,
FINRA
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of March 22, 2024.
The proposed rules are completely ridiculous since the United States is far behind the developed world and any kind of blockchain or cryptocurrency regulation the United States must 1st establish procedural laws and regulations around crypto that provide clear guidance to the citizens on how they can invest in and own cooker occurrences and cooked occurrences depending on the type should not even
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EXECUTIVE SUMMARY
The NASD has amended its By-Laws to require that members register with the NASD all branch offices located outside the United States. Article I, Section (c) of the NASD By-Laws defines the term
Omer Meisel leads FINRA’s National Cause and Financial Crimes Detections Program (NCFC), which includes the National Cause Program (NCP) and Complex Investigations and Intelligence (CII). Mr. Meisel leads teams that conduct investigations and examinations of firms and gather intelligence to detect financial crimes and inform FINRA and firms of emerging threats and risks to the financial industry.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of January 5, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter January 4
(a) The parties and their representatives are entitled to attend all hearings. Absent persuasive reasons to the contrary, expert witnesses should be permitted to attend all hearings.
(b) An attorney for a non-party witness may attend a hearing while that non-party witness is testifying. Unless otherwise authorized by the panel, the attorney's role is limited to the assertion of
(a) The parties and their representatives are entitled to attend all hearings. Absent persuasive reasons to the contrary, expert witnesses should be permitted to attend all hearings.
(b) An attorney for a non-party witness may attend a hearing while that non-party witness is testifying. Unless otherwise authorized by the panel, the attorney's role is limited to the assertion of
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*These are suggested departments only. Others may be appropriate for your firm.
The NASD Trading Committee, after a recent study, decided that a $10,000 principal amount should continue to be considered the "normal" unit of trading for NASDAQ-listed convertible debentures.
The decision, confirming a
