The FINRA Board of Governors is holding its final meeting of the year, with Board committees giving consideration to multiple issues.
Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Healthcare of Ontario Pension Plan Trust Fund.
Proposed Rule Change Relating to Options Exercise Procedures
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
I would like to see you actually enforce your rules. Not reminders, a actual punishment. Also not a "yeah we saw you steal 700 mil so we're just going fine you 70 mil and you can be on your way." No all of it. Everything that was taken, taken back. From what I have seen you don't enforce ur SSR rule, Threshold list rules, naked shorting rules, payment for order flow rules ect
