FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
I would want all the of these actions implemented and a DAILY accounting of it in both graphing and table form made available for public consumption. I believe that short positions are a part of the market's functionality. However, only 1 level. That is, a true 1-to-1 correspondence of short to stock share. The delivery date MUST be cut down to 1 day without a 'kick-the-can' down
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
SummaryFINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:a description of responsibilities for the various groups;an overview of each elected vacancy to be filled in 2024; anda summary of how eligible individuals can become candidates for
ACTION REQUIRED
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Operations
Research Reports
Qualification and Registration
Continuing Education Requirements
Advertising
Investment Banking
Executive Summary
On July 29, 2003
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
SUGGESTED ROUTING*
Legal & ComplianceRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved two revisions to Form BD, the Uniform Registration Application for Broker-Dealers, under the Securities Exchange Act of 1934. These revisions, which are effective August 1,
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Leveraged ETF's like QQQ Proshares or Inverse ETF's can significantly enhance returns and consolidate effort, like any fund. Why would FINRA or any gov't agency assume we as investors are too dumb to understand the risks/ benefit analysis? Right now the NASDAQ-indexed QQQ's are down because of government incompetence, throwing around money for people not to
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
