Good evening FINRA, While these increased reporting requirements around the currently broadly abused short selling practices in the stock market (including naked shorting, mis-reporting longs as shorts, re-hypothecated shares, married puts/calls, and fails to deliver) are a step in the right direction, the proposed changes do not go far enough to provide transparency and fairness to the public. I
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As more derivative instruments overlay securities listed on The Nasdaq Stock Market ("Nasdaq") and more Nasdaq-listed securities are included
This is the final reminder for the TRACE Depository Institution Reporting requirement before this initiative commences.
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal
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Comment Period Expires: January 11, 2001
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NASD Rule 2320(g)
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NASD Regulation, Inc. (NASD Regulation®) requests comment from members, investors, and other interested parties on a
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On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows
Publication Date: February 23, 2023
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15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
As a condition for a broker or dealer to compute certain of its deductions to capital in accordance with § 240.15c3-1e, pursuant to its undertaking, the
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
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