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This rule is absolutely unfair and limits the ability for average retail investors to earn outsized gains in the stock market. It makes it an un-level playing field with these products available to only large institutions and wealth managers, who in turn will charge extra fees to access these products. Putting a small allocation on my portfolio in an Leveraged and Inverse ETFs has personally
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The NASD will observe the following holiday schedule for 1993:
January 1
New Year's Day
July 5
Independence Day (Observed)
February 15
Presidents' Day
September 6
Labor Day
April 9
Good Friday
November
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 5, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws. The amendments would require controlling persons of a firm liquidated under the Securities Investor Protection Act of 1970 (SIPA) to undergo eligibility proceedings pursuant to the
The FINRA Board of Governors will consider the following rulemaking item at its September 2014 meeting. After the September 19 meeting, FINRA will notify firms via email about the Board’s actions on this item and anticipated next steps, if any.
Equity Trading Initiatives
ATS Order Book Information
The Board will consider a proposal to require alternative trading systems (ATSs) to provide FINRA
On March 16, 2023, FINRA published responses to frequently asked questions concerning the MMTLP corporate action and trading halt (March 16, 2023, MMTLP FAQ). In that corporate action, the issuer decided that MMTLP shares would be cancelled and investors in those shares would receive a distribution of shares of Next Bridge Hydrocarbons, Inc. (Next Bridge). FINRA has continued to receive questions regarding the circumstances surrounding these events. In particular, some have questioned the level of short selling in MMTLP and suggested that there was a substantial amount of “counterfeit shares.” Although it is not clear what is meant by the term “counterfeit shares,” it has been used in social media when discussing “naked” short selling in a security and failures-to-deliver (FTDs). Some investors have expressed concern that, even though their brokerage account statements include shares of Next Bridge in their account, these shares may not have actually been delivered to their broker-dealer.
WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.In the newly created role, Talib will be responsible for leading FINRA’s surveillance program, which serves a unique and critical role in fostering the integrity of the U.S. securities markets. As the markets have
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NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
FAIRMOUNT PARTNERS LP555 EAST LANCASTER AVENUE, SUITE 640, RADNOR, PA 19087FAIRPORT CAPITAL, INC.9141 E. HIDDEN SPUR TRAIL, SCOTTSDALE, AZ 85255FAIRVIEW SECURITIES, INC.154 LONG LOTS ROAD, WESTPORT, CT 06880FALCON SQUARE CAPITAL, LLC3701 LAKE BOONE TRAIL, SUITE 100, RALEIGH, NC 27607FALLBROOK CAPITAL SECURITIES CORP.26610 AGOURA ROAD, SUITE 120, CALABASAS, CA 91302FALLS BRIDGE SECURITIES, LLC32 N
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
