I am writing as a humble retail investor. Recent events and research have demonstrated that the entire securities market is built around big players taking money directly from retail investors and legitimate corporations who have zero recourse. The current system for reporting short sales is laughably ineffective. It is completely obscured from retail traders, intentionally preventing free trade
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EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to Schedule E that would require compliance with its provisions if a member participating in a distribution of a public offering of
Clarification Of Notice To Members 96-60
NASD Regulation Inc. (NASD RegulationSM) is issuing this FYI to clar the staff's regulatory intent and purpose in issuing NASD Notice to Members 96-60 (Notice). This FYI describes the substance of advice that the staff has provided in response to individual written inquiries pertaining to the Notice. That Notice was published to clarify member's
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
July 29, 2020FINRA President and CEO Robert Cook and Vice President and Deputy of Member Relations and Education Kayte Toczylowski were joined by FINRA senior staff to discuss recent updates, including the new FAQ about exemption reporting under SEA Rule 15c3-3, how to adjust supervisory systems to a remote work environment, and recent guidance on retail communications concerning private
Tim Mountz is Senior Vice President and Chief Litigation Counsel in FINRA’s Office of General Counsel. He leads the Litigation Group, which is responsible for representing FINRA in litigation and providing legal advice on matters involving litigation risk. Legal matters for which the OGC Litigation Group is responsible include claims challenging FINRA’s regulatory activities, securities
Sec. 5.4 The Secretary of the Corporation shall collect from each nominee for the office of member of the National Adjudicatory Council such information as is reasonably necessary to serve as the basis for a determination of the nominee's classification as an Industry, Small Firm, Mid-Size Firm, Large Firm, Non-Industry, or Public Member, and the Secretary shall certify to the
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
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Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings (IPOs)
Comment Period Expires: January 9, 2004
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Rule 2710
