All short positions should be transparent and recorded daily. https://www.sec.gov/rules/petitions/2020/petn4-758.pdf February 12, 2020 Vanessa Countryman Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Petition for Rulemaking on Short and Distort Dear Ms. Countryman: Petitioners signed below respectfully submit this petition for rulemaking pursuant
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
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The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Notice to reiterate the best execution obligations that apply to member firms when they receive, handle, route for
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The National Association of Securities Dealers, Inc. (NASD®) has modified the FOCUS Report to include disclosure, pursuant to Financial
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
Addressed to Yvonne Huber & Racquel Russel. Thank you both for requesting comment on Short Interest Position Reporting. I find it hopeful and positive that FINRA has acknowledged a gap in their ability to oversee Short Interest and Fail-To-Deliver Positions. In order to protect American investors (many of whom rely on equity positions ins 401Ks and IRAs to have a hope of retirement) FINRA
Comment Period Expires: July 15, 1997
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In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD® Rule 2210 to require that
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
FINRA is issuing this Regulatory Notice to provide members an update on regulatory coordination efforts concerning compliance with CAT reporting rules (the “CAT compliance rules”). In particular, FINRA and the national securities exchanges, as CAT NMS Plan Participants, have entered into a Rule 17d-2 Plan and corresponding Regulatory Services Agreements (RSAs) to coordinate regulation of the CAT
