Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 25, 1986, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts. Also, MSRB
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
There is a lot of "considerating" in the text above. The main point is transparency here and he need for more regular reporting. we are living in the digital era; there should be reporting of short positions every day or at the bare minimum every other day. A week is still too long to wait. Retails positions are known and not hidden.
Every share should be tracked with unique identifier. Every share should be located and lent only once. Every order should be delivered T+2 or fails mean 10x cost penalty and trading permission halted until delivered. Every short position should be updated with FINRA daily and publicly available.
Investors looking for different ways to diversify their portfolio by providing access and exposure to illiquid strategies or alternative assets may look to interval funds, but these come with unique risks and characteristics and have a fee structure that may be higher than those charged by other types of funds.
Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and
I object: Thumb on the scale regulations. This doesn't do small investors any favors. A reverse split is one thing. To remove the ability for opportunity as a threat becomes real--- it becomes a question of loyalty, but to what risk. It would reason out, that, all short option plays be included in this regulation proposal.
The market doesn't just go up. it exposes opportunity
Every share should be tracked with unique identifier/label. Every share should have to be located and lent only once. Every order should be delivered T+2 or fails mean large cost penalty, greater than or equal to price if share. Every short position updated with FINRA daily. Even the playing field.
I have been an investor since the 80s. I invest in a variety of stocks in the hope of owning a share of each companys profits. It is a business. Throughout the years, stocks rise, fall, and rise again. At times, the whole market tanks. The only way to protect myself as a small investor, is to be able to hold inverse investments. Like shorting individual stocks, inverse vehicles should stay on the
