FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
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The way the stock market is set up for the larger entities to easily outweigh performance of the average retail trader is completely absurd. With stocks that are being massively shorted, much like Tesla (TSLA) was back a few years ago, and other stocks now like Gamestop (GME), AMC Theater (AMC) , Nokia (NOK) and many more, it allows such a distrust in the system for who can make money FAIRLY. If
It is commonly understood that for every transaction the terms of the exchange is known by both parties and executed faithfully to produce what we consider the stock market. Technology now allows for near instant transactions for market participants, therefore the due diligence of reporting that transaction to regulatory authorities should occur simultaneously with the transaction itself. This
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
Executive Summary
The Government Securities Act Amendments of 1993 (GSAA) eliminated the statutory limitations on NASD® authority to apply sales-practice rules to transactions in exempted securities, including government securities, other than municipals. On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments implementing the expanded sales-practice authority
Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
FINRA invites member firms that participate, or plan to participate, in the security-based swap (SBS) market to provide views and information with regard to broker-dealer SBS activities, including the application of FINRA rules to those activities. Any other interested party is also invited to submit views and information. FINRA welcomes views and information on all aspects of SBS activity,
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number
