FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of July 27, 1995, the following 72 issues joined the Nasdaq National Market, bringing the total number of issues to 3,829:
Symbol
Company
SOES Entry Date
Execution Level
BRGP
Business Resource Group
6/28/95
500
NERAY
Nera AS (ADR)
6/28/95
As the Vice President and Deputy Chief Economist, Ms. Walsh is responsible for management of national strategic and tactical initiatives by providing high quality research, analysis and advice on the economics of securities regulation and policy in support of the Office of the Chief Economist (OCE) and FINRA’s mission. The work product informs current rulemaking initiatives, reviews of existing
Firms involved in mergers, acquisitions, asset transfers (which may include but is not limited to registered representatives and customer accounts) and other operational changes must attend to various regulatory and investor-protection obligations.
FINRA encourages firms, and in some cases requires them, to notify their FINRA coordinator when planning these changes. By discussing these proposals
On Wednesday, January 27, 2021, starting at 2:40 p.m. ET, the FINRA/NYSE TRF experienced a technical issue resulting in delays when submitting trade information to DTCC and FINRA. Trade reports to the Consolidated Tape were not impacted, and all trades were submitted to clearing by 8:30 p.m. ET on January 27, 2021.
FINRA is working with the NYSE TRF to receive any trades that were
J K R & COMPANY, INC.7145 WOODLEY AVE, VAN NUYS, CA 91406J. ALDEN ASSOCIATES, INC.37 WEST AVE, SUITE 301, WAYNE, PA 19087Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087J. D. SEIBERT & COMPANY, INC.20 WEST 9TH STREET, CINCINNATI, OH 45202-2024J. STREICHER & CO. L.L.C.28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005J. WOOD CAPITAL ADVISORS LLC1820 CALISTOGA ROAD,
Position
Field Long Name
Description
1
Security
For CUSIP version. Security Identifier assigned by Standard & Poors
2
Symbol
TRACE Symbol as defined by FINRA
3
BB Symbol
Bloomberg Identifier
4
Issuer Name
Issuer
