FINRA has updated the FAQ on the Eligibility Proceedings for Firms Participating in the MCDC Initiative.
The reporting of shorts and especially synthetic shorts have been overlooked for a very long time, because of this I absolutely believe this will benefit every single investor. These rules should be implemented and require daily reporting to the public by the firms FINRA regulates. I sincerely hope that FINRA implements and enforces these rules as the confidence in the state of todays stock
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Executive Summary
On August 7, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Code of Procedure setting forth, among other things, general procedures for
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to provide member firms the option, subject to specified
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
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Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
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GUIDANCE
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Internal Audit
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Operations
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Rule 6740
SEC Rule 15c2-11
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to advise member firms and other interested
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
FINRA Updates Supplemental Statement of Income
I am opposed to the SEC Proposed Rule #S7-24-15. This rule discriminates against ordinary investors. Public investments should be available to public, not just privileged. There should be no test to invest in public security. Leveraged and inverse funds are important to my investment strategy.
