GUIDANCE
Minor Rule Violation Plan
Effective Date: November 14, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
IM-9216
Rule 9216(b)
Minor Rule Violation Plan (MRVP)
Executive Summary
On August 18, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Interpretive Material 9216-2
(IM-9216-2
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
To-Be-Announced (TBA) security data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.
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Coupon Rate
A coupon rate is the annual interest
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
This interpretive material concerns the types of business expansions that will not require a member to submit a Rule 1017 application to obtain FINRA's approval of the expansion. This safe harbor applies to: (1) firms that do not have a
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).
Have now studied the stock market and how groups like CITADEL have been absolutely stealing from the Global Investment Community while SEC/FINRA/LEGISLATORS/PRESIDENT are simply turning a blind eye to Naked Shorting/handling FTD's and being able to manipulate stock prices by using borrowed shares in DARK POOL TRADING. Ken Griffin needs to feel the pain that he has caused the world retail
I appreciate the opportunity to submit comments on Short Interest Reporting. I am not against short selling, and as a retail investor I have made some very profitable trades over the years on the short side. However, I was always required to locate the shares, request to borrow and confirm they were received before I could enter the position. I am concerned that the current rules are not being
Its clear that you guys understand that big intuition shape market sentiment, that is why it has been required for big institution to report when they take a long position in any company, it is beyond absurd that the same requirements are not in place when a large intuition takes a massive short position. Going forward, it should be a requirement that short positions be reported on a daily basis
Thank you for considering these changes and taking an interest in retail investor opinions about them. I will keep it brief. First, it is no secret that stock shorting has become a practice that works in a way that is predatory to American businesses. Second, with decades of deregulation within financial markets the people who do engage in the more predatory forms of shorting have used antiquated
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, September 16, 1996. The information relating to matters contained in this section is current as of September 5, 1996. Information received subsequent to September 5, 1996, is not reflected in this section.
Firm Expelled, Individual Sanctioned
Banc Street Securities, Inc. (Milwaukee, Wisconsin) and Gerald
