Interpretations are marked in blue background beneath the rule text to which they relate.
Its clear that you guys understand that big intuition shape market sentiment, that is why it has been required for big institution to report when they take a long position in any company, it is beyond absurd that the same requirements are not in place when a large intuition takes a massive short position. Going forward, it should be a requirement that short positions be reported on a daily basis
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29093 proposing for public comment the so-called "Penny Stock Disclosure Rules" to implement
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
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using the domain name “@gateway-finra.org.” The email asks the recipient to click a link to “view request” and provide information to “complete” that request, noting that “late submission may attract penalties.”
FINRA recommends that
This past August, over 250 people at FINRA took two days to find data driven solutions for FINRA. With over 45 teams, there were some amazing ideas that came out of this hackathon. Below are 13 awesome ideas teams came up with.
The United States has always been the land of opportunity; "if you can make it here, you can make it anywhere." I strongly believe that America offers a very unique circumstance for the common man to lift himself up by his bootstraps and become the king of his domain and obtain the kind of wealth that can set a man for life and even change his family tree. Institutions are created by
The use of negative response letters to change the broker-dealer of record on a mutual fund or variable insurance product account held directly at the issuer.
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using one of at least three imposter FINRA domain names:
“@finrar-reporting.org”
“@Finpro-finrar.org”
“@gateway2-finra.org”
The email asks the recipient to click a link to “view request” and provide information to “complete” that request
