If you’re interested in over-the-counter (OTC) trading, you might have heard about dark pools, a type of alternative trading system (ATS) that was designed to handle large trades for institutional investors anonymously. Dark pools allow large buyers and sellers to trade large blocks of shares without causing the market to move against them.
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
On March 3, 1998, the Securities and Exchange Commission (SEC) approved changes to the Continuing Education rules of the National Association of Securities Dealers
2008 Ape so strap in. There isn't enough space to cover everything so let me summarize: For every crime someone, say, making more or less than $200k in the market, be it collusion, insider trading, fraud, or what have you, committed and was jailed for, is evenly handed UP to those making more than $1mil to $2 BILLION more or less in the market. (That can be made easier by) *ban and make
The Issue Management System allows firms to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request; it allows firms to:submit new issues;save draft submissions;make changes and updates to previously submitted issues;submit new issues in bulk via a file upload; andview the status of submissions.AccessPlease consult your
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the NASD® By-Laws) of the NASD Membership and Registration Rules which prescribes requirements for the Securities Industry Continuing Education Program (Program). The Program has two elements-a Regulatory Element and a Firm Element, and became effective July 1
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
The Department of the Treasury (Treasury) is granting an exemption from the haircut treatment for written mortgage-backed options under Section 402.2a of the Treasury regulations implementing the Government Securities Act of 1986. Treasury
Why are we still having to ask for basic accountability in the year 2022? The reason is because crime pays and the self reportive market is riddled with fraud as the past several months of Sec fines proves there is a glaring problem. https://www.sec.gov/news/pressreleases The DOJ mentioned using the RICO act for a reason and it is time to implement a computer tracking system to get with the times
When purchasing securities, you may pay for them in full or may borrow part of the purchase price from your securities firm. If you choose to borrow funds from a firm, you must open (or have) a margin account with the firm. Some brokerage firms use margin accounts as their default type of account.The portion of the purchase amount that you must deposit is called margin and is
Staff in FINRA’s Regulatory Review and Disclosure unit must review and approve all proposed names for firms applying for FINRA membership, a Broker Dealer or Funding Portal designation; and for current FINRA member firms seeking a name change. A firm may reserve a name by submitting a complete Firm Name Reservation Request Form. If the requested name(s) include the words “Adviser” or “Advisor,”
