The Small Firm Virtual Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Agenda
View the brochure for the 2021 Small Firm Virtual Conference.
Session Recordings
Recordings of sessions are available to FINRA member firms and
REQUEST FOR COMMENTSubordination AgreementsComment Period Expires November 26, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementAppendix D to the Net Capital RuleNet CapitalSEC Rule 15c3-1Subordination AgreementsSubordinated LoansExecutive SummaryIn 2002, NASD adopted a requirement that firms submitting subordination agreements to NASD staff for approval provide
Failure to Deliver should not exist. The basic rules of supply and demand are betrayed by this concept. If a Christie’s auction failed to deliver the auctioned item, but sent a replica that is treated and “valued” just as with the original, both of their prices are then diluted. Nefarious intent lies behind the semi-rational “because we need liquidity” argument for naked shorting and strategic
The rules around Failure to delivers (on short selling) for larger organizations (namely citadel securities and others), is giving them a way out to continue to drag down companies and squeeze out retail investors. The market does not function the way it should with the hand tipped to the market maker. The market maker is also the one funding the media outlets, may own assets in 'educational
I am Mary L. Schapiro, President of NASD Regulation, Inc. NASD Regulation, Inc. and our parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify on the securities day-trading industry
When large investors can break the law and set up naked shorts,it's not only wrong and immoral but it shows the system can easily be manipulated by powerful corrupt hedge funds and allows them to ignore any steps the rule makers such as yourselves make,which then shows that they have you in their pockets and any fines are clearly not making any different. As one of millions of retail
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the
I am new a new retail investor and came in with great confidence thinking that I was investing in a fail market only to find out that these hedge funds are allowed these fraudulent and predatory behaviors like dark pools, shorting and kick backs for payment order flow which is plain robbery and nothing has been done to stop this. Retail investor want for best execution which is best available
As a retail investor i’m strongly in favour if these changes to the gathering and publishing of data regarding short positions and the regulation of options based synthetic-share creation. These rules are a strong step forward in protecting the interests of everyday shareholders, those who invest the most, and have the most to lose when abuse, corruption, malfeasance, or negligence are allowed to
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
