SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On June 22, 1990, the United States District Court for the Northern District of Ohio appointed a SIPC trustee for:
First Ohio Securities CompanyTwo Park Plaza1111 Chester AvenueCleveland, OH 44114.
Members may use the "immediate close-out"
It is inappropriate for a regulatory entity to impose restrictions on adults that are capable of making their own decisions when it comes to selecting investments of their own money. No regulatory has the right to tell any American citizen how, when, and where they can spend or invest their money.
FINRA already regulates those that commercially sell to, coach, and suggest investment
SUGGESTED ROUTING*
MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On February 28, 1989, the United States District Court for the Eastern District of New York appointed a Temporary Receiver for:
Investors Center, Inc.110 Ricefield LaneHauppauge, NY 11788
Members may use the "immediate close-out" procedures provided for in
SEC Approves New Requirements for Alternative Trading Systems
The Neutral Corner—Volume 3, 2020
Mission Statement
Maintaining Arbitrator Neutrality in the Age of Social Media (by Joyce Park, FINRA Corporate Intern)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Hearing Postponements and Virtual Hearings
Virtual Arbitration Hearing Statistics
Arbitration Case Filings and Trends
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Portal Enhancement: New
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of September 14, 1989, the following 13 issues joined the NASDAQ National Market, bringing the total number of issues to 2,727
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
To whom it may concern at FINRA, I am not a very eloquent person, so please note that I have taken bits and pieces of comments and copy/pasted them. Just because I have not articulated these thoughts myself, does not mean that I am any less passionate about the proposed rule changes. Since beginning my journey as a retail investor and learning more about our financial systems I have lost complete
April 15, 2002
The April 8, 2002 Order Audit Trail System (OATS) Release includes a change in how the Account Type Code field will be handled by OATS. The Account Type Code field is now a required field for any electronically received orders reported by Non-ECN member firms. Those electronically received orders not containing a valid Account Type Code will be rejected with the rejection
