FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.
Worldwide, cloud computing has enjoyed rapid
C&C TRADING L.L.C.35 MASON STREET, 4TH FLOOR, GREENWICH, CT 06830C. L. KING & ASSOCIATES, INC.NINE ELK STREET, ALBANY, NY 12207C2M SECURITIES, LLC7315 THREE CHOPT ROAD, RICHMOND, VA 23226CABIN SECURITIES, INC.6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223CABOT LODGE SECURITIES LLC425 N MARTINGALE RD, SUITE 1220, SCHAUMBURG, IL 60173CABRERA CAPITAL MARKETS, LLC227 W.
I mean where do I start. Really it at all falls on these hedge funds, "family offices", the corrupt DTCC, banks and market makers that really need to be investigated, watched and monitored constantly like they are small children to make sure their shady activities can't be executed with ease and no repercussions. If fines are handed down make the amounts astronomical so they stop.
Thank you for allowing the opportunity to post feedback and make recommendations to make the system fair for all traders. I feel that short interest should be reported intraday. If a stock price can be updated within milliseconds then this should be possible too. I also feel that large institutions that have over 100,000 of any stock should have to report their short positions pre and post market
Current total short interest updated no less than once per day. Short position averages as well as amounts sorted by length held. Ie: 400k shorted shares still uncovered/ current position lifespan 24 days. Total disclosure of what exactly is being pushed through dark pools. It's on par with financial terrorism, fraud, theft, and the like. Absolutely disgusting how our regulators sit back and
Notice of FINRA District Committee Election and Ballots
Changes Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Senior Management
NASD Rule 11890
Executive Summary
On January 22, 2003, the Securities and Exchange Commission (SEC) approved changes to NASD Rule 11890 regarding the handling of clearly erroneous transactions. The changes, which take effect immediately, are intended
The Digital Communication section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
