TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Thursday, February 10, 1983, the United States District Court for the Northern District of Ohio, Western Division, appointed a SIPC Trustee for the above-captioned firm. Previously, a temporary receiver had been appointed for the firm on February 5, 1983.
Members may use the "immediate close-out"
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
Managing a retirement account takes some work. Your plan administrator generally handles your portfolio's actual transactions and the recordkeeping and reporting, but you decide when and how to reallocate and rebalance your assets.Beyond keeping tabs on the performance of your portfolio, you’ll want to know your plan’s rules and procedures and how much your plan and its investments are
Submission of PAIB Computation in FOCUS Filings
Beginning with the June 2002 FOCUS Report, members that hold assets of other member firms and compute a PAIB Reserve with respect to such assets will need to include the PAIB Reserve computation with their regular FOCUS filing. The PAIB Reserve computation will be included as page 9B in the Part II FOCUS filing.
The PAIB Reserve
(a) Briefs; Reply Briefs; Requirements
Parties may file briefs in connection with proceedings governed by the Rule 9300 Series. Briefs shall be confined to the particular matters at issue. An exception to findings, conclusions, or sanctions shall be supported by citation to the relevant portions of the record, including references to specific pages relied upon, and by concise argument,
(a) Content and Timing of Requests
A Respondent who requests that FINRA invoke Rule 8210 to compel the production of Documents or testimony at the hearing shall do so in writing and serve copies on all Parties. Such request shall: be submitted to the Hearing Officer no later than 21 days before the scheduled hearing date; describe with specificity the Documents, the category or type of
(a) Standards of Commercial Honor and Principles of Trade
A funding portal member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.
(b) Use of Manipulative, Deceptive or Other Fraudulent Devices
No funding portal member shall effect any transaction in, or induce the purchase or sale of, any security by
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.View DataAbout the DataData GlossaryView Equity Short Interest Data Glossary for definitions of data fields. Data CollectionFINRA Rule 4560 requires FINRA member firms to report their
Is anything going on with regards to investigating ‘meme’ stocks AMC and GME? There is so much fraudulent manipulation of the stock prices I. A daily basis. I’ve seen this for months. I’m no expert but have educated myself to being able to read a stock chart and basic corresponding numbers. Daily - —ladder attacks - buy/sell of millions of shares, or continuous sell orders that are canceled
