FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Notice of Special Meeting of Large Firms and Proxy
NTM 06-72 supersedes NTM 06-60GUIDANCE
Customer Account Statements
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KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
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Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
SIPC (Securities Investor
Protection Corporation)
Executive
ACTION REQUIRED
PORTAL-Designated Equity Securities Directory
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Executive Representatives
Operations
Trading & Market Making
ACT
PORTAL
Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
On March 16, 2023, FINRA published responses to frequently asked questions concerning the MMTLP corporate action and trading halt (March 16, 2023, MMTLP FAQ). In that corporate action, the issuer decided that MMTLP shares would be cancelled and investors in those shares would receive a distribution of shares of Next Bridge Hydrocarbons, Inc. (Next Bridge). FINRA has continued to receive questions regarding the circumstances surrounding these events. In particular, some have questioned the level of short selling in MMTLP and suggested that there was a substantial amount of “counterfeit shares.” Although it is not clear what is meant by the term “counterfeit shares,” it has been used in social media when discussing “naked” short selling in a security and failures-to-deliver (FTDs). Some investors have expressed concern that, even though their brokerage account statements include shares of Next Bridge in their account, these shares may not have actually been delivered to their broker-dealer.
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
