Is anything going on with regards to investigating ‘meme’ stocks AMC and GME? There is so much fraudulent manipulation of the stock prices I. A daily basis. I’ve seen this for months. I’m no expert but have educated myself to being able to read a stock chart and basic corresponding numbers. Daily - —ladder attacks - buy/sell of millions of shares, or continuous sell orders that are canceled
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose of this Notice is to encourage employees of member firms and other interested parties with diverse skills, backgrounds,
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Effective December 21, 1984, an additional 25 NASDAQ National Market System (NASDAQ/NMS) securities will begin trading in the Small Order Execution System (SOES). SOES began successfully on December 14 with over 66,000 shares in 25 different stocks traded during the first day of operation. (A list of those securities is contained in
INFORMATIONAL
District Elections
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Legal & Compliance
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Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
Firms and their associated persons should be aware of and take appropriate measures to address the increased risks and challenges presented during the COVID-19 pandemic. In addition
Within FINRA, we view ourselves as working on the “front lines” of investor protection. What does that mean? It means that we act quickly to identify misconduct, stop fraud and prevent losses, obtain restitution for harmed investors, and remove bad actors from the brokerage industry. Here, we are focusing on that last piece—barring bad actors from associating with a
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in
October 1999
Contingency Planning Activities
Although most businesses have worked, and are continuing to work, diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things may be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses should consider events beyond their control that could
SummaryFINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:this year’s CE Regulatory Element training assignments and completion deadline of December 31, 2024;resources available to firms for facilitating compliance with the annual Regulatory Element requirements; andresources available to firms to guide in
