I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is January 30, 1984
Enclosed herewith are proposed amendments to Article III, Section 19 of the Rules of Fair Practice and the Explanation thereto. These amendments have been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, they must
Remarks by Chairman and CEO Rick Ketchum at the IRI Government, Legal and Regulatory Conference
ZANBATO SECURITIES LLC711 / 715 N. SHORELINE BLVD., MOUNTAIN VIEW, CA 94043ZATARA CAPITAL SECURITIES L.P.120 NEWPORT CENTER DRIVE, SUITE 50, NEWPORT BEACH, CA 92660ZELMAN PARTNERS, LLC27101 EAST OVIATT ROAD, SUITE 14, BAY VILLAGE, OH 44140ZENITH SECURITIES LLC1061 E INDIANTOWN ROAD, SUITE 318, JUPITER, FL 33477ZEUS FINANCIAL, LLC4800 T-REX AVENUE, SUITE 100, BOCA RATON, FL 33431ZINK DISTRIBUTION
Simply put, Short Sellers have for decades made the argument that disclosing their position makes them a target for Short Squeeze. However, they in many cases target legitimate companies with the sole purpose of attempting to "shake out" longs to make a profit. This is not the intended use or purpose of allowing short positions, which as I understand it is as a way to address fraudulent
The Anti-Money Laundering (AML) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of this Rule) to provide eligible individuals another opportunity to elect to participate in the
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1990, the following 30 issues joined NASDAQ/NMS, bringing the total number of issues to 2,647:
Symbol
In an effort to streamline the processing of information requests, FINRA is consolidating the number of request types that are sent to member firms from Member Supervision. The five new categories are: Firm Exam Request, Cause Exam Request, Trading and Financial Compliance Examinations (TFCE) Firm Exam Request, TFCE Cause Exam Request, and Statutory Disqualification. This change to Member
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 11, 1989, the following 28 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market
