December 1999
SEC—Year 2000 Recordkeeping Rule
Effective August 31, 1999, the Securities and Exchange Commission (SEC) adopted SEC Rule 17a-9T (the Rule) relative to Year 2000. The Rule, which was originally proposed in March 1999, is intended to assist broker/dealers, the SEC, self-regulatory organizations (SROs), and the Securities Investor Protection Corporation (SIPC) in identifying all
I believe after reviewing the current rules, and revision suggestions made, that it is INCREDIBLY important that FINRA immediately implement the changes as suggested AS SOON AS POSSIBLE. It is apparent that the system of reporting is severely outdated and antiquated relative to the available technology and communication speeds of today. It has become quite clear that the nature of this antiquated
I for one am in favor of the enhanced reporting requires. An efficient market can only exist when accurate information is available to make informed decisions. As there is ample evidence of past and present naked shorting despite restrictions against it, requiring proper disclosures of large short positions, along with sufficient penalties to ensure accurate reporting is critical to identify the
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
<p>Scope of permissible functions of a Compliance Registered Operations Principal (CROP).<br />
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In regards to more frequent reporting of Short Interest to weekly or Daily, I agree. Some of these rules feel in place from older times. But the technology has advanced so that all sorts of possibly nefarious things can take place within the current period. More frequent reporting just seems like a natural adaptation to how automated and speedy modern trades have become.
<p>Secondary market trading in Select Sector SPDR Funds does not violate Rule 2830(c) and (g).<br/></p>
Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
