Current total short interest updated no less than once per day. Short position averages as well as amounts sorted by length held. Ie: 400k shorted shares still uncovered/ current position lifespan 24 days. Total disclosure of what exactly is being pushed through dark pools. It's on par with financial terrorism, fraud, theft, and the like. Absolutely disgusting how our regulators sit back and
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Continuing Education
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Continuing Education—Regulatory
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Rule 1120 (Continuing Education Requirements)
Schedule A to NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to enhance the collection and dissemination of new issue reference data for corporate bonds and charge associated fees.
See also SR-FINRA-2021-007 (Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA’s
Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports
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 8312 (FINRA BrokerCheck Disclosure) to allow the dissemination through BrokerCheck® of information already publicly disseminated through the SEC’s Investment Adviser Public Disclosure (“IAPD”) database about registered
Investment accounts are those that hold stocks, bonds, funds and other securities, as well as cash. A key difference between an investment account and a bank account is that the value of assets in an investment account fluctuates and can, in fact, decline.
Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers
Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
