SR-FINRA-2009-005 - Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023.
The second enrollment period is available to those who terminated their registration between March 15, 2020, and March 14, 2022.
Short positions should have to be reported immediately upon hitting the threshold list. Which as you know means FTD's are running rampant, they should be forced to cover in entirety to discourage institutions from dragging out their mistakes if they've had enough days consistently to reach the list. This would have saved them billions to date. Also Prime brokers should be required to
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 32 issues joining the NASDAQ/National Market System on Tuesday, September 18, 1984, there will be 1,078 securities trading under real-time trade reporting. These 32 issues meet the SEC's voluntary designation criteria.
The 32 securities scheduled to be phased into NASDAQ/NMS on September 18 are
Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
SR-FINRA-2008-012 - Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02
Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook
SR-FINRA-2008-056 - Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
TO: All NASD Members
The Securities and Exchange Commission has approved amendments to Article III, Section 28 of the Association's Rules of Fair Practice and the amendments are hereby declared effective as of May 1, 1983. These amendments were previously approved by the Association's Board of Governors and by a vote of the membership.
Section 28 addresses the responsibilities of
