FINRA may, upon notice, terminate access to the trade reporting service of the System as to a Participant in the event that a Participant fails to abide by any of the rules or operating procedures of the trade reporting service of the System or FINRA, or fails to honor contractual agreements entered into with FINRA or FINRA Regulation or the Participant Application Agreement, or fails to pay
Pursuant to applicable trade reporting rules, members must indicate on trade reports submitted to FINRA whether a transaction is a short sale transaction ("short sale reporting requirements"). The short sale reporting requirements apply to transactions in all OTC Equity Securities, as defined in Rule 6420. Thus, all short sale transactions in these securities reported to FINRA must
(a) Definitions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1011.
(b) Safe Harbor for Business Expansions
All capital acquisition brokers are subject to FINRA IM-1011-1, IM-1011-2 and IM-1011-3.
(c) General Provisions
All capital acquisition brokers and applicants for membership in FINRA as a capital
NASDR has filed with the SEC a proposed rule change to require certain NASD members to conduct or to participate in computer tests designed to address the Year 2000 problem.
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Executive Summary
On June 1, 1995, the Securities and Exchange Commission (SEC) approved amendments to Part II, Section 1(c) of Schedule D to the NASD By-Laws and Section 11 of the NASD's Uniform Practice Code.1 The amendments require that for a domestic security2 to be
Dear Sirs, I am writing today re: Proposed Rule #S7-24-15. This rule should not be adopted for the following reasons: I should be able to choose the public investments that are right for me and my family, not you. Public investments should be available to all of the public, not just the privileged few that you deem worthy of making that investment. I shouldn't have to go through any special
Dear FINRA, Hope the day finds you well. For 15 Years we have been restricted to Index Funds, Commodities, Currencies and Real Estate (Spouse is MD at Investment Banking Firm). The new restrictions Listed under Rule #S7-24-15 are worrisome as we will have even more limitations on where to invest our monies??? We are a household of MBA's, work hard and clearly understand that any purchase or
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to modify Trade Reporting and Compliance Engine (“TRACE”) dissemination protocols regarding Agency Pass-Through Mortgage-Backed Securities or Small Business Administration (SBA)-Backed Asset-Backed Securities traded in Specified Pool
The FINRA Board of Governors will consider the following rulemaking items at its December 2011 meeting.
