Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
The Neutral Corner - Volume 2—2023
This Rule 6400 Series sets forth quotation and trading requirements for "OTC Equity Securities" as that term is defined in Rule 6420.
Members shall use the OTC Reporting Facility for trade reporting in OTC Equity Securities and Restricted Equity Securities in compliance with the Rule 6600 and 7300 Series, as well as all other applicable rules and regulations.
Amended by
This Rule 6280 Series governs the reporting by members of transactions in ADF-eligible securities through the ADF. Transactions executed otherwise than on an exchange must be reported to the ADF, in accordance with Rule 6282and the Rule 7100 Series, as well as all other applicable FINRA rules, unless they are reported to another reporting facility designated by the SEC as being authorized to
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2024 FINRA Board of Governors Meeting.
I realize Im a little past the deadline for submitting comments, but in the interest of providing as many data points to decision-makers as possible, Id like to share some thoughts.
I have managed my own finances since I graduated from college at 21. After nearly three decades of hard work and sound investment, I retired from the rat race at 50. Surprisingly, I was able to accomplish this goal
Thank you for asking for comments. I am a fairly new investor (got more serious in January). I love numbers and reports so you can imagine my frustration with all the different results at the end of each day regarding short interest. Fintel would say one thing and Ortex another, etc. I also follow litigation news as well and had a suspicion confirmed when a firm was accused of marking shorts as
The short interest reports from ETF, Market makers, Pre Brokers, Hedge funds and all other investment institutions should be reported accurately and daily with failure to delivers and synthetic short positions covered in 2 business days. The penalties for FTD and mismarking long and short positions as well as short laddering and devaluing securities through high volume, high frequency dark pool
Hello, I would like more transparency when it comes to reporting short interest. Right now short interest doesn’t account for naked shorting which is illegal but still being done and the data’s does not always reflect the current state. Every platform charge a subscription fee in order to view short interest which should be available just like every other data. Short interest from ortex, fintel,
