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GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
IM-5100
IM-6130
Rule 3360
Rule 4632
Rule 5100
Rule 6130
Rule 9610
Short Exempt Marking Requirements
Short Sales
TRF Trade Reporting
Short Sale Requirements
Executive Summary
NASD is issuing this Notice to advise firms and other
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
FINRA’s Board of Governors met on September 13-14 in Philadelphia. In addition to continuing discussions around FINRA’s Regulatory Operations, the Board reaffirmed FINRA’s Financial Guiding Principles.
The market has officially become a criminal enterprise; One that you've left completely unchecked, and penalized with fines that are relative pocket-change to MMs, BDs, etc., which are pure window dressing. If you actually care to fix this, you can start by honoring the spirit of the free market with real transparency: - Short positions reported in real time. If 3rd party services are
Agreeing with Tom Berwick, sending for visibility into this serious matter. I am sick & tired of large hedge funds such as Citadel performing coordinated ladder attacks against GME & AMC, as well as others. Those two charts frequently pattern in lock step with each other. Investors know, as I assume FINRA & SEC does as well, that naked shorting is taking place on a grand
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FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
TO: All NASD Members and Other Interested Persons
SUMMARY
The NASD Board of Governors believes it is necessary to clarify its policy with respect to trading in stock and index options by members or persons associated with a member while in possession of material, non-public market information concerning imminent transactions of block size. Under certain circumstances, this type of activity,
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
