I think that naked short selling should be completely outlawed in every corner of Wall Street. However, considering that large financial groups have very large amounts of money and power in their favor, I don't think that is possible. What is possible is complete equality and transparency when it comes to disciplinary actions enforced. For example, the hedge fund Citadel Securities has been
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Whether you’re a military veteran or transitioning service member exploring new opportunities or a military spouse seeking a flexible career, the financial services industry offers many job paths. Get a head start today by taking the Security Industry Essentials® (SIE®) Exam.
This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-
FINRA Rule 2360 (Options) and FINRA Rule 2359 (Position and Exercise Limits; Liquidations) incorporate certain option exchanges' requirements for options and warrant position and exchange limits. Changes to an options exchange rules could affect a FINRA-regulated firm’s compliance with the FINRA rules. Accordingly, FINRA will provide updates when an options
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 4 - 2016
Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
If you’re one of the millions of Americans expecting a tax refund, take a minute before you rush and spend that found money. Here are six ways you can use your refund to help you improve your financial status in the long run.
GUIDANCE
Business Expansions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Business Expansions
IM-1011-1
Material Change in Business
Operations
Rule 1017
Safe Harbor
Executive Summary
On August 7, 2006, the Securities and Exchange Commission
(SEC) approved amendments to Interpretative Material 1011-1
(Safe Harbor for Business Expansions) (IM
Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Steve Luparello and I currently serve as Interim CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
