GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research Reports
Rule 1050
Supervision
Executive Summary
NASD
Comment Period Expires September 13, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Variable Contracts
Executive Summary
Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceTrading
Executive Summary
The Securities and Exchange Commission (SEC) is reproposing to adopt Rule 13h-l and Form 13H under the Securities Exchange Act of 1934. Originally published for comment in 1991, the proposed rule establishes a system for identifying large-trader accounts and transactions, and places certain
ENFORCE YOUR RULES. These rules don't mean anything if they're not enforced. And I'm not talking about giving Robinhood a 70m lawsuit, that's just the cost of doing business. The penalties need to be crippling to ensure that the rules are followed. Reduce the reporting period to daily. We live in the digital age, there is absolutely NO reason that this information isn't
Must enforce the rules first and foremost. 2nd borrowing of shares once off each share. 3rd Some type of proof the short was covered or the ftd was paid. None of this go short then cover long? 4th if naked shorting is illegal have a system that keeps track of the shares not allowing a float to be bought and sold several times over. 5th enforcing rule it is illegal to loan out shares on cash
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments initially set forth in SR-FINRA-2020-026 and subsequently extended in SR-FINRA-2020-043 (collectively, the “Temporary Qualification Examination Relief Filings”) from April 30, 2021, to
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm, was not an MFP, and did not anticipate an employment relationship with the firm; the firm already had a significant business relationship with the City of which the contribution recipient is an issuer official (as defined); the individual has attempted to obtain the return of the contribution; the firm has instituted barriers and controls around certain municipal business communications; and the individual will be prohibited from any involvement in municipal securities business with the City for a period of time.
Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
New S901 Regulatory Element Continuing Education Program
