Hello FINRA, First, off thank you allowing public comment on the need to better regulate options and trades involving short positions and shorting instruments. Please let ask a simple question: If Failure to Delivers on the Threshold list can be satisfied with borrowed shares, who is the owner of the settled delivery? Why have a Threshold list at all if it is ignored when the settlement period is
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require principal pre-use approval of member correspondence to 25 or more existing retail customers within a 30 calendar-day period.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
On January 24, 1994, the Securities and Exchange Commission (SEC) approved new Section 47, Article III, of the Rules of Fair Practice that requires members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the introducing and clearing
<p>NASD Rules 6950-6957 (OATS)</p>
Effective Monday, March 3, 2008, when reporting odd-lot transactions1 to a FINRA Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) and the OTC Reporting Facility (ORF) (collectively referred to as the "FINRA Facilities"), firms:
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 24, 1992, the Securities and Exchange Commission (SEC) announced the adoption of amendments to its Net Capital Rule, Rule 15c3-1 (Rule). Except for the minimum increases scheduled to
Decision IssuanceAfter considering the application, the membership interview, documents provided by the Applicant, other information, the public interest and the protection of investors, FINRA’s Membership Application Program (MAP) will issue a decision as to whether membership will be granted, granted with restrictions, or denied. The decision will be based upon a determination as to whether the
(a) Notice of Suspension of Member, Person Associated with a Member or Person Subject to FINRA's Jurisdiction if Corrective Action is Not Taken
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the FINRA By-Laws or FINRA rules,
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
