Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
INFORMATIONALAmendments to NASD Rule 3370, Affirmative Determination RequirementsEffective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsNASD Rule 3370Short Sale OrdersExecutive SummaryThe Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "
Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of
08-52 - SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
We need more accountability for short positions in the market. There is far too much collusion and conflicts of interest that are not good for our markets/economy as a whole. I hope FINRA is able to provide more accountability by passing more rules for institutions, hedge funds and big players as a whole. All information regarding our markets should be public knowledge. Short positions, volumes,
FINRA is aware of the critical Spring4Shell vulnerability and has taken immediate steps to neutralize the risk.
Member Surcharge in Arbitration
SUGGESTED ROUTING
KEY TOPICS
FinanceLegal and ComplianceSenior Management
Arbitration
Executive Summary
For arbitration claims filed on or after January 13, 2003, NASD will refund the member surcharge paid by each member firm named as a party (or where its present or former associated person has been named as a party) in an arbitration
