FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook, which is outlined in this Notice. The new FINRA Rules will apply to all FINRA members and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD Rules and incorporated New York Stock Exchange (
This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
REQUEST FOR COMMENT
Trading Activity Fee
Comment Period Expires October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
NASD By-Laws
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members on possible changes to the Trading Activity Fee (TAF). In
2003, the Securities and Exchange
.
Extended Hours Trading Risk Disclosure
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Advertising
Compliance
Institutional
Legal
Operations
Options
Registered Representatives
Risk
Senior Management
Trading
Training
Key
Do not prevent individual investors from being able to invest in leveraged and inverse funds such as are offered by Pro Shares. These are no more difficult to invest in than are all other securities.
Regulate the market manipulation by large corporations, brokerages, and funds which buy and sell to move market prices. Regulate use of warrants which allow corporate officers to purchase stocks at
This is a free country, this means everyone has the right to invest in what they choose, without the government saying anything. You were voted in by the people to work for the people, not to let your ego get the best of you and take away our rights. Do the job you were voted in to do and stop trying to take away our rights! We have the right to fire politicians we deem unfit to hold office.
INFORMATIONAL
Non-Cash Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 2710
Rule 2810
Non-Cash Compensation Provisions
Rule Modernization
Executive Summary
On April 7, 2003, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness
