(a) Notice of Suspension or Cancellation
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with an arbitration award or a settlement agreement related to an arbitration or mediation under Article VI, Section 3 of the FINRA By-Laws or a FINRA order of restitution or FINRA settlement agreement providing for restitution, FINRA staff
(a) Notice of Suspension, Cancellation or Bar
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to pay any fees, dues, assessment or other charge required to be paid under the FINRA By-Laws or rules, or to submit a required report or information related to such payment, FINRA staff may issue a written notice to such member or person stating
(a) Pre-hearing
After a Respondent's answer has been filed and Documents have been made available to that Respondent for inspection and copying pursuant to Rule 9251, the Respondent or the Department of Enforcement, without leave of the Hearing Officer, may make a motion for summary disposition of any or all the causes of action in the complaint with respect to that Respondent, as
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SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Executive Summary
This Notice is to remind firms that registered persons whose registrations become inactive as defined in Rule 1120 of the National Association of Securities Dealers, Inc. (NASD®) Membership and Registration Rules (Continuing Education Requirements), and who
All of that should already be in place. Synthetic shorts are an illegal practice anyways, so reporting them would just oust the form doing them thus implicating them in a crime. But yes they should be reported; As the amount of synthetic shares could and most like does in fact dwarf the actual share count of a particular stock if the hedge funds are trying to bankrupt them. Examples being
Neutral Corner - February 2008
I honestly have been losing faith in our stock market in general and want to bring integrity back to our markets. If shares aren’t properly reported and have the ability to be manipulated on a mass scale then what’s the point of the every day investor even attempting to do anything?? My comment would be to enforce the law on ALL of us not just some. If naked shorting or selling of stocks they
the T2 system on short information needs to be T0 and live or at least updated hourly. FTD submissions should be daily on a T1 system. Large institutions have a huge advantage to see live market data and can act fast, swift, and often negatively affecting the retail investors experience with the stock market. Everyone should have equal opportunity to see live market action and data to make a
