(a) No member or person associated with a member that participates in a selling syndicate or selling group or that acts as the single underwriter in connection with a fixed price offering shall offer or grant, directly or indirectly, to any person or account that is not a member of the selling syndicate or selling group or that is a person or account other than the single underwriter any
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
Summary
FINRA’s Digital Experience Transformation is changing the way that firms and their personnel access and interact with FINRA’s systems and complete their compliance and regulatory tasks. This Information Notice highlights near-term changes to the manner in which firms and their personnel access, and interact with, FINRA’s registration and continuing education applications and provides
I’d love to see more more transparency. I’d love to be able to trust the data that I see when researching stocks. I’d love to trust that the markets are fair. I can’t do that right now due to how the current system is setup. The US markets are completely fake. The changes suggested may improve things.
I strongly support stricter reporting requirements on short positions held by market makers and prime brokerages. It is increasingly necessary that FTD information be presented to the public as a way of not only limiting abuse of the FTD system, but also to reveal obfuscated information that is not readily available to the market and is often times concealed or miscategorized in reporting.
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On August 13, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that allows broker/dealers to treat foreign equity securities listed on the FT-Actuaries World Indexes (Indexes) as having a "ready market" under SEC Rule 15c3-1 (net capital rule
SummaryFor the past two years, FINRA has encouraged firms to keep their Risk Monitoring Analyst (formerly known as a “Regulatory Coordinator”) informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and
As announced in a Technical Notice on 6/3/19, there was an issue in the Tier 1 5/13/19 weekly report where some ATS data was unattributed. The issue has now been resolved. The unattributed data was actually associated with trade activity on the MLIX Instinct X ATS. The line data for MLIX has now been updated to reflect the additional activity.
If you have any questions, please contact FINRA
When it’s more profitable to break the law there will never be the change that is needed in the markets. Making 100 million dollars illegally and it only costs 25 million in fines equals a profitable business model. Why would they EVER follow rules??? The system is broken, rigged and allows outright theft, fraud and manipulation.
A Member's Responsibilities Regarding the Outsourcing of Certain Activities
