Effective January 1, 2012, the webcast portion of the “What to Expect” series has been retired. However, the corresponding resource documents—which contain the same material and additional resources—remain available in PDF format.
The "What to Expect" series is aimed at taking the mystery out of key regulatory processes and making firms' interactions with FINRA more productive and
The FINRA New York Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and the
Industry Governor (Large Firm Representative)Chairman, and Former President and Chief Executive Officer, Janney Montgomery Scott LLCGovernor Since 2018Committees: Conflicts Committee, Executive Committee, Finance, Operations & Technology Committee (Chair), Investment Committee, Regulatory Oversight Committee, Regulatory Policy CommitteeProfessional ExperienceJanney Montgomery Scott
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by member firm participants to provide an overview of the recently held Clearing and Introducing Firm Forum—the Forum that brought together member firms to discuss clearing and introducing-related challenges and potential solutions. Hear the topics that were covered and key
There needs to be actual punishments for abusive naked short selling, not just fines. Actual jail time please. A fine is the cost of business at least, and bribery on the part of the powers that be at worst. If not prison, then at least a fine that's worth something. Take a note out of Korea's book and take away every coin of profit from a naked short sale, if nothing else. As for short
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Securities and Exchange Commission (SEC) Rule 15c6-1, which establishes three business days as the standard time period for settling transactions in most securities (T+3), is effective June 7,
November 26, 2001Periodically, important messages need to be broadcast to the OATS user community. The quickest medium is the OATS Announcements Page on the OATS Web Interface. The information posted to the OATS Announcement Page is usually urgent and may affect what you can process or see on the Web Site. It is very important that you monitor the OATS Announcements on a daily basis to see the
As a relative newcomer to investing short interest seems to be a very complex subject to understand the situation regarding a company's share price and its analysis. Simple, accurate and timely information would help make a more informed decision on where to invest hard earned money. As such I feel information reported should be equally simple. Number of short positions opened, number of
Data transparency is a must of having reliability, responsibility, and accountability within in financial industry. Without the full faith and trust in a fair system, myself and other investors would see no reason to put our hard earned money at risk to the "Wall Street Boys Club". As such, all information about short sale positions, short interest, etc. must be publicly and freely
