SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
It is unfortunate that the system must be an "US vs THEM" system, especially when they don't have to play by the same rules that we, the little guy, the 99%, the "dumb money", the "retail investor, has to follow. Things I would like to see changed: -- There needs to be more transparency. We need to be able to see the shorts. We need to see the FTDs. Short positions
TO: All NASD Members and Other Interested Persons
SUMMARY
Recently, in response to a request by the Association, the staff of the SEC's Division of Market Regulation issued a no-action letter concerning 17 C.F.R. 240.15c3-l (the "net capital rule") and 17 C.F.R. 240.15c3-3 (the "customer protection rule"). The letter provides, until December 31, 1983, a temporary
There is a lot covered here, it is obvious that some steps toward better transparency are at work. The simple fact of the matter is that there systemic issues with the creation of shares to borrow based on future volumes, failures to deliver, and shorting in general. While appreciated, and needed, the solutions to these do not lie in the resolution of transparency alone. Removing the capability
Summary
FINRA warns member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA officers, including Bill Wollman and Josh Drobnyk (see Attachment A). These emails have a source domain name “@broker-finra.org” and request immediate attention to an attachment relating to your firm. In at least in some cases, the emails do not actually include
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
INFORMATIONAL
Terrorist Activity
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Office of Foreign Assets Control
Terrorist Activity
Executive Summary
At midnight on September 24, 2001, President Bush issued Executive Order 13224 (Executive Order) freezing the property of and prohibiting transactions with persons
I am an individual investor, responsible for investing for my own family and retirement. I'm investing in PUBLIC investment vehicles, that currently are (and should REMAIN) available to any investor, and not just privileged hedge fund managers.
I DO NOT consent to having to take or pass any special exam in order to invest a security, which by definition is an act of risking capital in
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
