FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
GUIDANCE
Short Sale Delivery Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Short Sales
Rule 3210
Executive Summary
On April 4, 2006, the Securities and Exchange Commission (SEC)
approved new Rule 3210, Short Sale Delivery Requirements, which
applies short sale
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6730 to require alternative trading systems (“ATSs”) that report transactions in U.S. Treasury Securities to the Transaction Reporting and Compliance Engine (“TRACE”) to identify non-FINRA member subscribers on those transaction
This rule is unfair and biased against all people who are not already wealthy and have cheated the system to become more wealthy. Everyone should be allowed to participate in all facets of our economy or else we are not a free and fair democratic capitalist society. We would be an oligarchy that allows on the wealthy to benefit from the highest earning investment opportunities. This rule is
Hi,
I have used Leverage funds for many years and it is an important part of my investment strategy. I understand the risks of the leveraged fund and prefer that strategy over options and margin purchases. This is clearly not a concern of regulators as it poses no threat to the overall stability of the world financial system and frankly is an overreach into what investors can use. Thus i
