Neutral Corner - Volume 2—2019
Mission Statement
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Removal of Initial Prehearing Conference Order PDF from FINRA's Website
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Portal How-to Videos
Practising Law Institute: Securities Arbitration 2019: September 10, 2019
SEC Rule
Earlier this year, FINRA introduced its Transparency Services Infrastructure Initiatives project and created a web page detailing this effort. Items highlighted on this web page include an infrastructure upgrade to the existing TRACE Trade Reporting system web application (TRAQS), a new web application for Issue Management, and enhanced Reference Data tools including firm
Exemptive relief is granted based on the following considerations: the Contribution was made by an individual who, at of the time of the Contribution, had never been an MFP nor was Name involved in the Firm’s municipal securities business. We believe the possibility that the payment was intended to influence issuer officials is significantly minimized. To the extent that any potential investor protection concerns exist, the staff believes these concerns will be appropriately addressed by the Firm’s existing firewall procedures for Name.
Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
NASD Rule 2210 - Communications with the Public
GUIDANCE AND REQUEST FOR COMMENT
Regulatory Transaction Fees
Comment Period Expires March 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Regulatory Transaction Fees
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD By-Laws
Executive Summary
In August 2004, NASD issued Notice
FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T 220.8 and SEC Rule 15c3-3(m) and (n)margin extensions denied around holidays. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
To whom it may concern, Yes, I believe daily or even weekly reporting of short interest positions would be a step in the right direction providing retail investors confidence that the markets can indeed work for them also. I think it would be extremely useful if entities were required to report synthetic short positions if only to make market makers more honest and not let them overleverage thus
