We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 4 - 2016
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Registration
Training
Executive Summary
On February 13, 1995, in SEC Release No. 34–35361, File No. SR-NASD-94–51, the Securities and Exchange Commission (SEC) approved amendments to Parts VI and X of Schedule C of the NASD By-Laws relating to foreign finders and foreign associates. These
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On March 29, 1994, the Securities and Exchange Commission (SEC) approved amendments to Article II, Sections 10 and 11 of the Code of Procedure that allow the National Business Conduct Committee (NBCC) to designate a Subcommittee composed of members of the NBCC to review Letters of Acceptance, Waiver, and
1) Market maker cannot run their hedge funds : They have huge conflict of interest in their actions as market maker. 2) Mandatory short interest and long interest on weekly basis 3)US to adopt a settlement discipline regime (like EU's CSDR), which would reverse failed trades and suspend market participants who repeatedly fail to deliver shares sold 4) Acting on current rules diligently. 5)
More frequent public reporting of short positions is needed, more detail in public reports, and more transparency for the retail investor. The markets have become a corrupt and lopsided playing field that caters to big money and leaves the retail investor at a decided disadvantage. Hedge funds play by a different set of rules, and then get slapped on the wrist for the kinds of illegal activities
ROUTE TO
Senior Management
Legal & Compliance
Operations
Other
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would
It is in the best interest of all participants invested in the stock market to have potentially influential information when making important, calculated, and delicate financial decisions. With additions made to FINRA's short sale reporting program, specifically the procedures as instructed by Rule 4560, a gob of data can capture the eyes of all investors to help make better informed
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
Regulatory Obligations and Related Considerations
Regulatory Obligations
Exchange Act Rule 15c3-1 (Net Capital Rule) requires that firms must at all times have and maintain net capital at specific levels to protect customers and creditors from monetary losses that can occur when firms fail. Exchange Act Rule 17a-11 requires firms to notify FINRA in the event their net capital falls below the “
Held between November 2021 and August 2024, the Disclosure Reporting Webinar Series provided basic information about different types of reportable events. These sessions were designed for compliance professionals at FINRA-member broker-dealers who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives and firms.The content of the
