H & L EQUITIES, LLC1175 PEACHTREE ST., NE, SUITE 2200, ATLANTA, GA 30361-6206H. C. DENISON CO.618 NORTH 7TH STREET, SHEBOYGAN, WI 53081Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028H.C.WAINWRIGHT & CO., LLC430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022HAITONG INTERNATIONAL SECURITIES (USA) INC.1460 BROADWAY, SUITE 11017, NEW YORK, NY 10036HALEY SECURITIES, INC.8712 WEST
Hi, Please solve all the [REDACTED] regarding naked short sales, darkpools, FTD's, short ladder attacks, marketmakes and hedgefunds beeing owned by the same entities and so on. There needs to be proper punishment not just a slap on the wrist 12 years later with a fine that represents lunch money. The entirety of the US financial system is being dragged through the mud, the trust, reliability
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceResearch
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved amendments to Article III, Section 24(b)(2) of the NASD Rules of Fair Practice and the Board of Governors' Interpretation thereunder that conform the definition of "bona fide research" to
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to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy.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
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on extensive amendments to Article III, Sections 1
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our
In general, a member firm’s office or location is either registered as a branch office, if it meets the definitions contained in Rule 3110(f), or exempt from branch office registration (i.e., an unregistered office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential supervisory
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with certain exemptions from the
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
