I am writing to request that FINRA reform their short-sale and FTD reporting to the highest enforcement standards possible. Specifically, I am concerned that FINRA's current blindness with regard to alternate formations of short interest through "married puts" and arranged financing leads to unquantifiable systemic risk which can then be rolled over indefinitely with low borrow
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulatory Notice 24-02 which includes Residential Supervisory Location and the Remote Inspections Pilot ProgramSpeakers:Robert Cook, FINRA President and Chief Executive OfficerEric Chandler, Vice President, Member SupervisionKosha Dalal, Vice President
FINRA is a not-for-profit, self-regulatory organization dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our members’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Year 2000 Program Addresses Challenges Faced By Automated Systems
Members Be Advised: The year 2000 will be upon us in less than two and a half years, and, to be ready, all National Association of Securities Dealers, Inc. (NASD®) member firms must take action now to ensure that their automated systems will continue to operate successfully. The NASD has instituted a Year 2000 (Y2K) Program to
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
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*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed concept for the continuing
Each registration category has a default base qualification exam. Starting in January 2023, if a registration category was obtained by a passing alternate qualification exam, a “Credit” for the default base exam(s) is added to the individual’s exam information in their CRD record. This information is viewable in their FINRA Gateway profile as well as the Qualifications area in FinPro.
 
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Senior Management
Corporate Finance
Institutional
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Municipal
Operations
Systems
Trading
As of November 29, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
MMG.GA
Metromedia Int'l Group
9.875
3/15/97
MMG.GB
Metromedia Int'l Group
10.000
10/1/99
Julie Glynn is the Senior Vice President of Enforcement Legal. In this role, Ms. Glynn is a senior legal advisor to the Executive Vice President and Head of Enforcement. She is responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the Enforcement department and in coordination with FINRA’s Regulatory Operations
B. Howell Griswold, Jr.Alex, Brown & Sons, Baltimore, MD1939Francis A. BonnerBlair, Bonner & Company, Chicago, IL1940Robert W. BairdThe Wisconsin Company, Milwaukee, WI1941H. H. DewarDewar, Robertson & Pancoast, San Antonio, TX1942Henry G. Riter, 3rdRiter & Co., New York, NY1943Ralph ChapmanFarwell, Chapman & Co., Chicago, IL1944Ralph E. PhillipsDean Witter
As announced in Regulatory Notice 19-21, FINRA is expanding the summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. This expansion includes:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS) on a one-month delayed basis; and
aggregate non-ATS volume for all firms by
