If want all information about short interest exposed for public to see Honestly we the Americans and rest of the world are tired...we want and need prooer regualtion of the stock market..everyday stock.is open we seeing manipulation . Everyday the retailer os always bag holder... You finra and sec need cut that bs of fines..that shit never works..we.want see pple go to jail...all this wealthy
Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
To protect investors and the public interest, and to respond to concerns raised by the Securities and Exchange Commission (SEC), the NASD filed
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOptions
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Appendix E to Article III, Section 33, of the NASD Rules of Fair Practice. These amendments will require members to develop and maintain written
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to
SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to subsections (b)(7) — Definitions
Alert to Member Firms About the Federal Trade Commission’s FACT Act Regulations and the Announcement of the FTC’s Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
INFORMATIONAL
Limit Order Protection
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Trading & Market Making
Limit Order Protection
OTCBB
Executive Summary
On February 8, 2001, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD®) Rule 6541 (Rule), which, on a pilot
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall
