The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to bring an important cyber-related development to your attention. The Cybersecurity & Infrastructure Security Agency (CISA) and the FBI issued a “Shields Up” warning this week regarding potential Russian cyberattacks to target U.S. organizations related to
Notice of FINRA Regional Committee Elections and Ballots
If a security is sold, FINRA should have a record of it whether it is generated from. I see your folks are focusing on synthetic, fake shares generated to "provide liquidity" via options but security-based swaps, mismarked longs and any other financial instrument institutions may use to sell a share they do not have NEEDS to be reported to FINRA. When you folks have this information you
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
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Exchange Act Rule 15c3-5 (Market Access Rule) requires broker-dealers with market access or that provide market access to their customers to “appropriately control the risks associated with market access so as not to jeopardize their own financial condition, that of other market participants, the integrity of trading on the securities markets, and the stability of the financial system.”
Omer Meisel leads FINRA’s National Cause and Financial Crimes Detections Program (NCFC), which includes the National Cause Program (NCP) and Complex Investigations and Intelligence (CII). Mr. Meisel leads teams that conduct investigations and examinations of firms and gather intelligence to detect financial crimes and inform FINRA and firms of emerging threats and risks to the financial industry.
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
INFORMATIONAL
Arbitration Awards
Effective Date: September 18, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Arbitration Awards
Motions To Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
To respond to concerns raised by the General Accounting Office, NASD Dispute Resolution,
There needs to be actual punishments for abusive naked short selling, not just fines. Actual jail time please. A fine is the cost of business at least, and bribery on the part of the powers that be at worst. If not prison, then at least a fine that's worth something. Take a note out of Korea's book and take away every coin of profit from a naked short sale, if nothing else. As for short
