(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
Summary
Several member firms have recently notified FINRA that they have been victims of imposter websites—which are sites designed to mimic a firm’s actual website with the end goal of committing financial fraud. This Notice outlines steps firms can take to monitor for imposter websites and what to do if an imposter website is found.
Questions concerning this Notice should be directed to:
Dear Sir or Madam, it has been long overdue to further regulate short sale reporting as short selling has primarily been used by the investment firms impacting the financial market of the United States the most of any parties. The lack thereof seems absurd when taking into consideration the false reporting of many facts by mainstream media such as short interest, highly opinionated company
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit projections of performance in institutional communications and specified communications to qualified purchasers.
Executive Summary
On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
Data transparency is a must of having reliability, responsibility, and accountability within in financial industry. Without the full faith and trust in a fair system, myself and other investors would see no reason to put our hard earned money at risk to the "Wall Street Boys Club". As such, all information about short sale positions, short interest, etc. must be publicly and freely
Hello - thank you for addressing this and making it a priority. I am primarily invested in AMC but also have shares in other shorted stocks like GME and NAKD. The pricing is being manipulated by market makers and hedge funds in and out of dark pools. Based on what we know as fact, they should have had margin calls multiple times but skirt the rules to push the proverbial can down the road. The
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of December 12, 1989, the following 33 issues joined the NASDAQ National Market, bringing the total number of issues to 2,713
FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7. During the meeting, the Board approved two rule proposals and FINRA’s 2024 proposed budget , and continued discussions around FINRA’s financials, including expenses and the drawdown of reserves. The Board also appointed new members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), and previewed the 2024 FINRA Annual Regulatory Oversight Report.
I cannot believe how deep this corruption runs. Honestly, at this point id be hopeful that any number of these committees would do something to level the playong feild here. However judging by lack of action, i have come to one of two conclusions. You're either all corrupt and working together to rob the american public. The people who keep this coubtry running. The people you all considered
