(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a
(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a
(a) Requirements for Public Offerings(1) General (A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.(B) Any member acting as
A. Delegation of Functions and Authority:
1. Subject to Section I.B.9., FINRA hereby delegates to FINRA Regulation and FINRA Regulation assumes the following responsibilities and functions as a registered securities association:
a. To establish and interpret rules and regulations and provide exemptions for FINRA members including, but not limited to, fees, membership requirements and dispute
Hi January 01/28/2021 There were pure Manipulation for share price for illegal short covering. I wanted to purchased $nok share with Cash account in the morning but they intentionally blocked my order so hedge funds can cover their illgeal short position... I no longer believe in our finnical system. He is live video with proof... https://www.youtube.com/watch?v=69QNPHNU5zc
Dear mod I’m a full time trader since 2015! I experienced allots of good company stock destroyed by short seller. So many of investors are in the road because of then and some of them wait years but shorts never cover their positions! I really want finra to change this system as soon as possible. I’m sure this will help the regulator investor ( thank you )
INFORMATIONAL
Membership And Registration Rules
Series 24, 26, And 62 Modified
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Corporate Securities Limited Representative (Series 62)
General Securities Principal (Series 24)
Investment Company Products/Variable Contracts Limited Principal
With how poorly the entire market is run, anything that enhances the ability for retail investors to have more transparency is a must. With how easily everything can be manipulated, data being skewed and hidden, naked shorts, FTD's, etc - the entire system needs an overhaul. But at the minimum, 21-19 needs to be passed to allow better transparency involving the reporting of short interest
FULL TRANSPARENCY/ NO MORE LOOPHOLES Investors demand an end to the systemic corruption and crime that is plaguing our markets through un-regulated short selling that siphons real value from companies and investors and PREVENTS proper price discovery. Direct Registering (DRS via a transfer agent) shares is currently the ONLY way to escape the rampant fraud and the ineffective, unenforced
The charges for the month of commencement or termination of service will be prorated based on the number of trade days in that month.
Amended by SR-FINRA-2013-053 eff. Feb. 3, 2014.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2002-97 eff. July 29, 2002.Selected Notice: 08-57.
