Executive SummaryOn October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the Trading Activity Fee (TAF) to reduce the TAF rate for covered equity securities, reduce the maximum per trade charge on covered equity securities, and assess the TAF on corporate debt securities that, under the Trade Reporting and Compliance Engine (TRACE)
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star FamiliesWASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures to
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements; Effective Date: Anticipated April 2005; Specific Date to be Announced in Future Notice to Members
I'd like to see the ability to hide naked shorts in options taken away, as well as meaningful penalties for breaking rules (fines as a percentage of valuation, turnover of profits made in such a way, etc.). It would also be nice if the dark pools weren't watched over by people with gross conflict of interest. Finally, some actual oversight of shorting would be good (no more self
<p>A sales incentive program can combine non-conforming criteria based on sales prior to January 1, 1999 with conforming criteria based on sales subsequent to January 1, 1999 for incentives to be provided prior to June 30, 2000.<br />
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FINRA Resources
Senior Investors Topic Page
FINRA Securities Helpline for Seniors
Regulatory Notice 19-36 (FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary of Holding a Position of Trust for or on Behalf of Customer)
Regulatory Notice 19-27 (FINRA Requests Comment on Rules and Issues Relating to Senior Investors)
Summary
FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software
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Hello, I believe that this is a really important rule as we all know what can happen when shorts go unchecked. I understand the reason for shorting but when people get carried away, they can harm another company as a whole. I don't see how there could be any trouble making the info transparent to be able to keep a book on how many shorts are out on the market to avoid any issues of naked
