NASDR has filed with the SEC a proposed rule change to amend Interpretive Material 8310-2 of the National Association of Securities Dealers, Inc., which governs the Public Disclosure Program.
On January 26, 2004, NASD filed with the SEC a proposed rule change for immediate effectiveness that would extend the NASD Alternative Display Facility pilot program until October 26, 2004.
FINRA
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates
I'm writing to let you know that I find it unconscionable that you would pass rules that prevent the public from making their own investment choices. There is no reason that those who have more money would have a right to invest in things that others would not. This sounds like a set up to make the rich, richer and the poor poorer. I and others are capable of working out the risks and
This is ridiculous.
In the finance world, first I found the Pattern Day Trader (PDT) rule is ridiculous. If this is risky: when you don't have money (< $25,000), you cannot do it; when you have more money (> $25,000), you can lose them more quickly. It means you have a higher trial and error cost.
Now, the new rule is even more ridiculous, similar to PDT. People
More regulatory rules need to bet set for for hedgge funds creating synthetic shares. They borrow shares that don't exist then have to cover them (FTD) after a certain amount of time. Time should shortened to 5 days and there should be absolutely no way of the Hedge funds getting out of it once 5 days has been reached. The rules need changing!
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
View the recorded sessions from the 2019 FINRA Regulation Best Interest Conference.
For technical questions, please call (800) 321-6273.
FINRA's
INFORMATIONAL
Initial Public Offerings (IPOs)
Voluntary Effective Date: December 23, 2003
Mandatory Effective Date: March 23, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Institutional
Legal & Compliance
Operations
Senior Management
Syndicate
Trading & Market Making
Training
Free-Riding and
A new question has been added to the Uniform Application for Securities Industry Registration or Transfer (Form U4) to identify Residential Supervisory Locations (RSLs) for purposes of complying with FINRA Rule 3110.19(d), as amended (RSL Question). Firms that have identified a location as a non-registered private residence are required to answer the RSL Question as either “Yes” or “No” by December 26, 2024. The previously announced October 15, 2024 date in Regulatory Notice 24-02 has been replaced by the December 26, 2024 deadline. Further information on Form U4’s new RSL Question and the related deadline is available in File No. SR-FINRA-2024-015 and in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
