Summary
FINRA has adopted amendments to its rules to clarify the application of FINRA rules to security-based swaps (SBS):1
FINRA has adopted a new Rule 0180 (Application of Rules to Security-Based Swaps), which, along with conforming amendments to Rule 9610 (Procedures for Exemptions—Application), will become effective February 6, 2022. The new rule replaces the expiring temporary Rule 0180
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
Dear Sirs: I am providing the following information in response to the possibility that FINRA is apparently in the process of promulgating restrictions that may cause severe harm to my ability to take advantage of the current system that allows investment in public securities and ETFs. As such, my ability to provide financial support to myself, my wife, and my immediate family may be destroyed
INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
Regulatory ObligationsRules 203(b) (Short sales) and 204 (Close-out requirement) of Regulation SHO provide exceptions for bona fide market making activity. The SEC has provided guidance on what constitutes “bona fide market making activities” as well as examples of what does not. Firms must also confirm and be able to demonstrate that any transaction for which they rely on a Regulation SHO bona
INFORMATIONAL
Decimalization
Survey Deadline: July 28, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the Securities and Exchange Commission (SEC) Order requiring a decimalization "phase-in
Dear FINRA: I'm a long term buy & hold retail investor of leveraged exchange traded funds (ETFs.) I am a significant shareholder of ProShare's ETF "UPRO" at owning 0.01% of all outstanding shares, and of Direxion's "TMF" owning 0.07% of all outstanding shares. If you were to consider me an institution, I'd be rank #12 of ownership in terms of shares
The use of dark pools as a tool for price suppression is overwhelmingly clear. Market manipulation is actively taking place and the free reign of large organizations to process transactions off-exchange is essentially cheating the system. Additionally, there is basically no real, enforceable regulation on the shorting of stocks. Through aggressive shorting, powerful entities can drive many
FINRA Announces Results of SFAB, NAC and District Committee Elections
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
