A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
I notice you are welcoming comments on regulatory notice 21-19 regarding short positions. In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
The Alternative Display Facility ("ADF") is a facility operated by FINRA for members that choose to quote or effect trades in ADF-eligible securities otherwise than on an exchange. The ADF collects and disseminates quotations and trade reports, and compares trades. Those FINRA members that use ADF systems for quotation or trade reporting activities must comply with the Rule 6200 and
New courses are added to the FLEX catalog on a quarterly basis. Bookmark this page to view the latest offerings as well as announcements pertaining to system upgrades and enhancements.New Firm Element Courses – July 2025The Regulation BI (Best Interest) Compliance for Registered Representatives and Their Supervisors (ELC263) in the Chinese and Spanish languages.CRED Series: Introduction to
<p>A wrap fee program in which a registered representative/investment adviser neither receives transaction fees nor is involved with the execution of securities transactions would be subject to NASD Rule 3030, rather than Rule 3040.<br/></p>
Section C: "...short interest reports could be due by 6:00 p.m. ET one business day after the designated reporting settlement date..." In this statement, it's the data that is fixed but the frequency is dynamic. For example, if there's no short sale for 2 days then there will be a reporting gap. Consider that the reporting frequency be fixed but the content be dynamic. A daily
As a retail shareholder and investor (equities and options) in multiple companies such as Tesla, Gamestop, AMC, along with the typical ETFs tracking the broader market I feel that we have not been well served by the current rules and system. The lack of transparency, limited reporting, and massive loopholes like synthetic short positions and loan obligations not being required to be reported in
The purpose of this Election Notice is to notify member firms of the upcoming nomination and election process to fill forthcoming vacancies on FINRA District Committees and District Nominating Committees.
The current District Committee and District Nominating Committee members are included in Attachment A. Information on District Election procedures is included in Attachment B. A candidate
*IF THIS GOES PUBLIC PLEASE RESPECT MY PRIVACY AND DONT USE THE WORD 'DIG'*
I HAVENT BEEN ABLE TO RESPOND TO A REQUEST FOR COMMENTS SUGGESTIONS REQUESTED A COUPLE OF YEARS AGO BECAUSE I WAS TAKING CARE OF 3 FAMILY MEMBERS WHO HAVE DEMENTIA ONE OF WHICH RECENTLY DIED SO I AM NOW ABLE TO COMMENT IMMEDITELY.
AWHILE BACK I HAD WENT TO VARIOUS FULL SERVICE BROKERS SEEKING TO JOIN UP
