Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook
As all short interest affects market pricing, all transactions between market participants that may be used to mask or hide official short interest numbers should be reported fully and transparently. It is against the idea of a free market to withhold short interest data from all market participants, including retail investors, and to only provide information to professionals.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure), which governs the information FINRA releases to the public via FINRA’s BrokerCheck® tool, to exclude from release through BrokerCheck the street address of a registered location that is reported and identified to FINRA as a private residence. The proposed rule change would help address privacy and safety concerns raised by broker-dealer firms and their associated persons about the release through BrokerCheck of the full address of an associated person’s private residential registered location.
INFORMATIONALAmendments to Section 4 of Schedule A to the NASD By-LawsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementForms U4 and U5Late FeesSection 4 of Schedule A to the NASD By-LawsExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 4 of Schedule A to the NASD By-Laws
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make a technical amendment to new NASD Rule 2342 (SIPC Information). The proposed rule change serves to clarify the categories of members that are excepted from the scope of the rule.
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
The Liquidity Risk Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
INFORMATIONAL
Limit Order Protection
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading And Market Making
Limit Order Protection
Market Making
Multiple MPIDs
Executive Summary
Recently The Nasdaq Stock Market, Inc. (NASDAQ) began permitting market makers and
1. Enforcement should be as immediate as possible. 2. Transparency : Give detailed numbers, company names and extended information on your investigation. 3. Bigger fines. Let's be real. The fines you're giving are symbolic. What's even the point exactly? 4. Kinda unrelated but maybe the best way to enforce those ruled is for finra to cease to exist? And be replaced by a public
Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device
