Hello, I wholeheartedly support FINRA's step toward a vastly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would be
As a retail investor I cannot say I'm happy with the whole financial system with stock market. Everything we buy and sell is reported instantly. Our positions are transparent to any market maker or institution. All we ask for is full transparency on all transactions that occur in that trading day. In today's age we should be able to track and barcode every share that is available in a
Good day, In response to your request, I know a small part of the issue is the shorting problem of stocks. While I support more immediate reporting requirements the issue is naked shorting as well as mislabeling the short as Long's, using the dark market to manipulate the pricing of stocks, Synthetic shares being created for price manipulation, and other shorting issues being used by market
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceOperationsRegistrationTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn October 13, 1988, the Securities and Exchange Commission approved amendments to Article III, Section 27 of the Rules of Fair Practice and conforming amendments to Article I of the By-Laws and Schedule C
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Stablecoins are digital assets that aim to manage volatility by tracking the values of more stable assets, such as fiat currencies like the U.S. dollar. Though the name might imply otherwise, stablecoins are not without risks for investors.
Hello, I wholeheartedly support FINRA's step toward a slightly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would
February 10, 2004
NASD member firms reporting to OATS are required under NASD Conduct Rule 3010 to maintain and enforce written supervisory procedures related to OATS.
NASD has published articles in the December 2000, February 2001 and January 2004 OATS Reports to provide guidance on what member firms should include in written supervisory procedures.
Member firms are still required to have
Notice of Annual Meeting of FINRA Firms and Proxy
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
