As an AMC GME APE I demand market transparency! Same day reporting is doable with the technology. End PFOF and Ban Dark Pools! Citadel Securities Scandal CEO Ken Griffin should be arrested immediately ORTEX should be releasing information to the public for free Enforce the rules that you already have in order SEC Rule 304(a) (4): Suspension, Limitation, or Revocation to the Exchange Link to rule
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
The market has officially become a criminal enterprise; One that you've left completely unchecked, and penalized with fines that are relative pocket-change to MMs, BDs, etc., which are pure window dressing. If you actually care to fix this, you can start by honoring the spirit of the free market with real transparency: - Short positions reported in real time. If 3rd party services are
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
1. What is the Form BR?
Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through FINRA Gateway with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
Remarks From the Consumer Federation of America Consumer Assembly
D-MERC SERVICES375 BALSAM ST, LAKEWOOD, CO 80226D. B. MCKENNA & CO., INC.207 WEST MAIN STREET, BENNINGTON, VT 05201-2108D. BORAL CAPITAL590 MADISON AVE, 39TH FLOOR, NEW YORK, NY 10022D.A. DAVIDSON & CO.8 THIRD STREET NORTH, GREAT FALLS, MT 59401-3104Mailing Address: P.O. BOX 5015, GREAT FALLS, MT 59403-5015D.E. SHAW SECURITIES, L.L.C.TWO MANHATTAN WEST, 375 NINTH AVENUE, 52ND
Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each
Notice of FINRA District Committee Elections and Ballots
