Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to provide member firms the option, subject to specified
To Whom it May Concern, Thank you for requesting comments on this matter. I believe short interest and short sale reporting plays a major part of our current financial structure. Such a major role, that it is surprising how lax the overall rules are governing this aspect. I'm as smooth brain as they come, but I truly believe in clear and open transparency to the public is a way to help
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 11, 1997, the National Association of Securities Dealers, Inc. (NASD®) Board of Governors approved the solicitation of comment on a proposed rule that would amend Rule 6530 to limit
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of May 24, 1993, the following 58 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,108:
Symbol
Company
Entry Date
SOES Execution Level
SFSW
State Financial Services Corporation
4/26/93
500
ACTNW
Action Performance Companies, Inc. (4/27/98 Wts)
4/27/93
500
ACTN
Action
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Options
Trading
Executive Summary
Through this Notice, NASD Regulation, Inc. (NASD RegulationSM) is establishing an interpretation that National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3) options position limits apply with respect to options transactions that are intermediated
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to exempt additional persons from the scope of the rules, modify current
To FINRA: I want to continue having the freedom to invest on my own as I have for over the years. I want to maintain my current freedom to invest in public securities of my choosing. As an American citizen, I should be able to choose the public investments that are right for me! I am grateful to have the freedom of access to the exchange traded funds that empower me and my family to pursue our
