Notice of SFAB Election
and Ballots
As a layman, I find the practice of share lending to be disappointing. Many people trust their brokers and relevant institutions to act in ways that aren't detrimental to their portfolio. Lending shares (even from ETFs) to satisfy the borrowing needs of short sellers? This needs to end. Retail's confidence in US capital markets has all but evaporated at this point. So really, things
The Variable Annuities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires October 15, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® is proposing to amend the Corporate Financing Rule, Article III, Section 44, of the NASD Rules of Fair Practice (Rule) to require that certain registered and unregistered exchange offers and related information must be filed with
As of March 27, 1995, the following 34 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,740:
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Symbol
Company
Entry Date
SOES Execution Level
CYTOR
Cytogen Corp. (Rts 1/31/97)
2/24/95
200
CYTOW
Cytogen Corp. (
Sec. 8.1 FINRA shall be the sole stockholder of the capital stock of FINRA Dispute Resolution.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9, 2000.
Selected Notice: 10-32.
FINRA Announces Election Results for District Committees, District Nominating Committees
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 7, 1987, 29 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,972. These 29 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Dear FINRA Committee members, It is this commenter's genuine hope that short selling is banned as it serves counter-purpose to the two primary functions of the Stock Market, Capital Allotment, and Price Discovery. As such an act would likely remove the need for FINRA, and it is unjust to request this forum to consider self-destruction. Instead, this comment hopes to serve as a basic appeal
