(a) Reportable Transactions
Members shall comply with the Rule 7300 Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be compared
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
SR-FINRA-2009-016 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
DisseminationSystemCurrentFutureHistoricalTRACE BTDS SpecificationBTDS 2.1 MOLD/UDP v1.0Effective October 21, 2024MOLD/UDP SpecificationEffective October 21, 2024BTDS IP AddressesEffective October 21, 2024 Version 3.0 - 4.8TRACE ATDS SpecificationATDS 2.1 MOLD/UDP v1.0Effective October 21, 2024MOLD/UDP Specification Effective October 21, 2024ATDS IP AddressesEffective October 21
it is unnecessary and a clear attempt to drive up costs for the investors by increasing dependence on paid financial consultants - you exist to serve the investors NOT those selling services. Please work at reducing regulatory burdens on investors and concentrate on keeping financial consultants and corporate Board members working for the investors and staying true to their fiduciary duties.
N.A. INVESTCORP LLC280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017N.B. ZOULLAS SECURITIES, INC.ONE PENN PLAZA, SUITE 2005, 20TH FLOOR, NEW YORK, NY 10119N.E. PRIVATE CLIENT, LTD790 NORTH MAIN STREET, PROVIDENCE, RI 02904N.I.S. FINANCIAL SERVICES, INC.500 EAST 9TH ST., KANSAS CITY, MO 64106Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103NABSECURITIES, LLC277 PARK AVENUE, 19TH FLOOR,
I gained over $1000 on my DIS today. It will cost me $274 to protect 100 sh (about 1/4) of my position with a put option for next week. That's costly.
FINRA should advocate my right to buy & sell options on a fractional basis. At a cost of $2.74 a sh I should be able to buy a fractional put for as many shares as I can afford.
There is no need to make it more difficult
