Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
For purposes of the Rule 11890 Series, the terms of a transaction are “clearly erroneous” when there is an obvious error in any term, such as price, number of shares, or other unit of trading, or identification of the security.
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.01 Refusal to Abide by Rulings. It shall be considered conduct inconsistent with just and equitable principles
(a) A member shall use the facilities of a securities depository for the book-entry settlement of all transactions in depository eligible securities with another member or a member of a national securities exchange or a registered securities association.
(b) A member shall not effect a delivery-versus-payment or receipt-versus payment transaction in a depository eligible security with a
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460
Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative – Investment Banking (“Series 79”) Examination Program
Naked shorting is illegal. HAH. If only these rules were enforced. If only infinite loopholes didn't exist.
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
(a) This rule provides procedures under which parties and arbitrators may communicate directly.
(b) Only parties that are represented by counsel may use direct communication under this rule. If, during the proceeding, a party chooses to appear without counsel, this rule shall no longer apply.
(c) All arbitrators and all parties must agree to the use of direct communication during the
