TLDR. I got an idea, instead of pretending the stock market is not a casino under house rules FINRA should explain the house rules in a 1 page document that everyone can read. The rules should include which parties can naked short sale with ridiculous margin on which stocks, which stocks will permanently cyclically fail to deliver and why, and why the DTCC has an obligation warehouse that the
Summary
FINRA seeks comment on a proposal to accelerate arbitration case processing when requested by parties who are seriously ill or are at least 75 years old. The proposal would help ensure that these parties are able to participate meaningfully in FINRA arbitration by shortening certain case processing deadlines for parties and arbitrators under the Codes.
The text of the proposed
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Interpretive Material 2210-5 to extend the expiration date of IM-2210-5 from August 31, 2001 to August 31, 2003, and to clarify that the filing requirements and review procedures applicable to sales literature that includes bond mutual fund volatility ratings, as set forth in NASD Rule 2210(c)(3), also will expire on
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
GUIDANCE
SUGGESTED ROUTINGKEY TOPICS
Legal and ComplianceOperationsSenior
ManagementService Bureaus/Providers
Form NMANew Member ApplicationsRule 1012Rule 1013Standardized Online Application Form
New Member Applications
Executive Summary
NASD is issuing this Notice to inform members and applicants for membership of amendments to Rules 1012 (General Provisions) and 1013 (New Member
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2241 (Research Analysts and Research Reports) required by the Fair Access to Investment Research Act of 2017 (“FAIR Act”). The proposed rule change would eliminate the “quiet
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 4111 and 9561 to make non-substantive and technical amendments.
