Hello, I wholeheartedly support FINRA's step toward a slightly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would
INFORMATIONAL
NASD By-Laws Amendments
Effective Date: December 1, 1999
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Associated Person Definition
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive
INFORMATIONAL
NYSE Series 7 Examination
SUGGESTED ROUTING
KEY TOPICS
Registration
Examinations
Fees
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The New York Stock Exchange,
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, March 29, 2024.
The Uniform Forms U4 and U5 are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs) and the jurisdictions. Forms BD and BDW are joint forms used by the Securities and Exchange Commission (SEC), SROs, and the jurisdictions. The forms are used, respectively, to register and to terminate the registrations of broker-dealers.
A NASD member firm that is a proprietary trader and does not make markets is required to report orders in Nasdaq securities in compliance with OATS Rules 6951 through 6957.<br/>
Small Firm Advisory Board Runoff Election
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
