The problem is not the rules... Rules are there already and you know as well as everyone else that the issue is that the rules are for thee and not for me. Enforce the rules that are on the books and stop not only the naked short selling but also the political hacks working for your agency and all throughout the financial industry regulatory authorities. Tell me... How much again did Pelosi make
Summary
FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110). Members may wish to consider
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for 120 days, to December 29, 2005, the provisions of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 (collectively, the "Rules") on a pilot basis, unless extended or permanently approved before that date. The Rules, as approved by the
INFORMATIONAL
Hard To Borrow List
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Trading & Market Making
Affirmative Determination
NASD Rule 3370
Short Sales
Executive Summary
On March 23, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of
Effective Tuesday, May 28, 2024, in accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project
I - not FINRA or Wall Street interests - should have the right to decide how to invest my money. If FINRA eliminates the ability to hedge portfolio volatility by restricting or eliminating access to leveraged and inverse funds, that is yet another example of having one rule for Main Street and another rule for Wall Street. Do not make this mistake.
NASDR has filed with the SEC a proposed rule change to the Code of Arbitration Procedure (Code) of the National Association of Securities Dealers, Inc. to change the interpretation of the Code such that claims relating to transactions in exempted securities, including government and municipal securities, may be submitted to the Office of Dispute Resolution (Office) for arbitration under the NASD
