I would like to see automatic reporting of shorts and short interest and not self-reporting. I have a three year old and if I'd ask her to self-report when she does something wrong life would be peachy. The brokers, market makers and multitude of firms, funds, offices and other institutions have shown that they are unreliable or downright fraudulent when it comes to reporting. They should
Industry Governor (Independent Dealer/Insurance Affiliate)Senior Vice President, General Counsel & Chief Risk OfficerCommonwealth Financial NetworkGovernor Since 2021Committees: Audit & Risk Committee, Investment CommitteeProfessional ExperienceSenior Vice President, General Counsel & Chief Risk Officer, Commonwealth Financial Network (2021 – present)LPL Financial (2007 –
The annual meeting of FINRA firms will take place on or about August 18, 2025, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 18, 2025.
Comment Period Expires February 15, 1995
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comment on proposed amendments to the NASD Rules of Fair Practice to adopt rules governing broker/dealers operating on the premises of financial institutions. The proposed rules
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.FINRA Entitlement Reference GuideFINRA Entitlement Program Frequently Asked QuestionsFINRA Entitlement ProgramThe FINRA Entitlement Program provides a secure way for your
Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
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SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
A member which does not maintain an office in the United States responsible for preparing and maintaining financial and other reports required to be filed with the SEC and FINRA must:
(a) prepare all such reports, and maintain a general ledger chart of account and any description thereof, in English and U.S. dollars;
(b) reimburse FINRA for any expenses incurred in connection with
