Executive Summary
The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019.
The purpose of this
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Senior ManagementLegal & ComplianceTrading
Executive Summary
The cornerstone of the NASD's self-regulatory process is the nationwide committee system of securities industry representatives that conducts peer reviews, takes disciplinary action where appropriate, and imposes remedial sanctions when federal securities laws or NASD® rules and regulation
P & M CORPORATE FINANCE, LLC10 SOUTH RIVERSIDE PLAZA, 9TH FLOOR, CHICAGO, IL 60606P G BOOLE, LLC18 NORTH MAIN STREET, SUITE 115, SHERBORN, MA 01770Mailing Address: 30 PEDERZINI DRIVE, MEDFIELD, MA 02052P. A. N. SECURITIES, LP45 GLOVER AVENUE, 7TH FLOOR, NORWALK, CT 06850P.J. ROBB VARIABLE, LLC6075 POPLAR AVE, SUITE 400, MEMPHIS, TN 38119P2 CORPORATE FINANCE, LLC964 EULALIA ROAD NE, SUITE
Hello FINRA, First, off thank you allowing public comment on the need to better regulate options and trades involving short positions and shorting instruments. Please let ask a simple question: If Failure to Delivers on the Threshold list can be satisfied with borrowed shares, who is the owner of the settled delivery? Why have a Threshold list at all if it is ignored when the settlement period is
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Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On January 30, 1992, the United States District Court for the District of Utah appointed a Securities Investor Protection Corporation (SIPC) trustee for:
San Marino Securities, Inc.1245 E. Brickyard Road, Suite 140Salt
Abby Slonecker joined FINRA in early 2021 as Chief of Staff to Greg Ruppert and Senior Vice President of Member Supervision’s Office of Strategy and Program Risk (OSPR). In her role as Chief of Staff, she executes Greg’s strategic vision toward fulfilling FINRA’s mission and advises his Senior Leadership team. As SVP of OSPR, she oversees five teams that advise and support Member Supervision’s
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 12 securities will join the 728 already designated to trade in the NASDAQ National Market System on Tuesday, February 7, 1984. These securities have met the mandatory NMS designation requirements which include an average trading volume of 600,000 shares a month and a minimum bid price of $10 on the last five business
Q ADVISORS LLC999 18TH STREET, SUITE 2015, DENVER, CO 80202QATALYST PARTNERS LP3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111QUADRIGA SECURITIES, LLC44 COOK STREET, SUITE 255, DENVER, CO 80206QUANTITATIVE BROKERS, LLC285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017QUANTLAB BROKERAGE, LLC3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046QUANTRIVER FINANCIAL, LLC6430 PLANTATION PARK COURT
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On September 12, 1991, the United States District Court for the Eastern District of Texas (Tyler) appointed a Securities Investor Protection Corporation (SIPC) trustee for:
Affiliated Security Brokers, Inc.115 East Erwin
WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understanding (MOU) to address crypto activities that fall within their respective regulatory mandates.
