Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
FINRA Requirements for Subordinations; Availability of New Standard Forms
Q ADVISORS LLC999 18TH STREET, SUITE 2015, DENVER, CO 80202QATALYST PARTNERS LP3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111QUADRIGA SECURITIES, LLC44 COOK STREET, SUITE 255, DENVER, CO 80206QUANTITATIVE BROKERS, LLC285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017QUANTLAB BROKERAGE, LLC3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046QUANTRIVER FINANCIAL, LLC6430 PLANTATION PARK COURT
I request the following to be taken into consideration for addition to the proposed rule change: - Short positions held by market makers should require enhanced reporting. In addition, anytime an options contract is opened by a MM well below market value for the stock, the time of trade and involved party should be reported. - Incorporate ETF short interest in reporting requirements. - Require
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of October 20, 1995, the following 82 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,913:
Symbol
Company
Entry Date
SOES Execution Level
ANMWV
Advanced NMR Systems, Inc. (Wts 8/30/00 WI)
9/21/95
200
BVAS
Bio-
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments, effective March 8, 1994, to remove the member vote requirement for adoption of, or amendment to, the Rules of Fair Practice, to incorporate Appendices A, B, C, E, and F into Sections 30 through 34 of the Rules of Fair Practice, and to
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
