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As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially
FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat.
I’d like to voice my support for Short Interest Position Reporting Enhancements. In today’s digital market and environment, information is the most valuable resource retail investors (and others) can have to make responsible decisions with their finances. More frequent and accurate reporting are important… as well as penalties for non-reporting that are MORE punitive than the potential gain from
We need more accountability for short positions in the market. There is far too much collusion and conflicts of interest that are not good for our markets/economy as a whole. I hope FINRA is able to provide more accountability by passing more rules for institutions, hedge funds and big players as a whole. All information regarding our markets should be public knowledge. Short positions, volumes,
Submit to FINRA a signed/notarized hard copy CRD printout of Form BD. Make sure the firm’s Financial and Operations Principal (FINOP) is listed on Schedule A of Form BD.
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FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Financial Industry Networking Directory (FIND™) Interest Form for Firms let's firms subscribe to The Financial Industry Networking Directory (FIND)™, a complementary FINRA subscription service designed to connect individuals who are enrolled to take the Security Industry Essentials® (SIE®) exam with firms that are recruiting for employment and internship opportunities.
How are we (the public retail) supposed to believe any information reported is accurate, when fines for breaking any rules take years to resolve and are minuscule when compared to the money that is being made off of defrauding the little guy? When the people lying are friends with the people who are supposed to keep them in check, all it takes is a little kick back to make it all go away. Lame or
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day. The daily aggregate data is published at 8:00 PM ET every business day. The first daily was published February 13, 2023.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected
