Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
FINRA emphasizes the obligations of members to report securities transactions within the required time period. All reportable transactions not reported within the required time period shall be marked late, and FINRA routinely monitors members' compliance with the reporting requirements. If FINRA finds a pattern or practice of unexcused late reporting, that is, repeated reports of
(a) The Director may decline to permit the use of the FINRA arbitration forum if the Director determines that, given the purposes of FINRA and the intent of the Code, the subject matter of the dispute is inappropriate, or that accepting the matter would pose a risk to the health or safety of arbitrators, staff, or parties or their representatives. Only the Director may exercise the authority
(a) Coupon Bonds
Each delivery of bonds or similar evidences of indebtedness in coupon bearer form shall be made in denominations of $1,000 or in denominations of $100 or multiples thereof aggregating $1,000.
(b) Registered Bonds
Each delivery of bonds or similar evidences of indebtedness in fully registered bond issues shall be made in denominations of $1,000 or multiples thereof or in
It is my opinion, as a new investor, that clarity of information be the most important aspect of regulation. Beyond tagging each individually purchased share, there is little to no way to keep track of shares that have been shorted, and the delivery process is convoluted. Without going into specific details, and instead focusing on the motive aspects of reporting and regulation, the want and
This is my first and most sincere comment to FINRA guidance and rulings Throughout my last few years of investing and last year of seriously understanding the markets -- there is no doubt in my mind that the framework of reporting and filling short positions on stocks is absolutely the most murky and shark infested water in the entire market. The reporting framework and the amount of loopholes
INFORMATIONAL
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
NASD Sanction Guidelines
Rule 3030
Outside Business Activities
Rule 3040
Selling Away
Recidivists
Executive Summary
The NASD Sanction Guidelines (
Gamestop and many other stocks have been and continue to be a target to illegal naked short selling that needs to stop, protect the retail investors and companies from crooks and cheats that use illegal practices to stay rich and keep the poor broke as well as drive companies that do good in the world into the ground. Get rid of PFOF, insider trading, politicians having any part of trading, dark
Short selling and rehypothecation has been used to the detriment of retail investors and is threatening to destroy the entire market structure if left unchecked. Stricter reporting of positions, including naked shorts should be happening already. Brokerage firms, market makers, and other financial institutions were never meant to have as much control over the financial markets as they currently
The Series 82 exam — the Private Securities Offerings Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a private securities offerings representative.
