Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
15c3-1b(a) Every broker or dealer in computing net capital pursuant to 17 CFR 240.15c3-1 shall comply with the following:
15c3-1b(a)(1)
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May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
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
FINRA Guidance on OATS Order Trade Matching Obligations for Orders Matched as Agent by a Member, including an ECN or ATS
Applicability of Rule 2510(d) to the use of negative response letters to transfer customer funds from money market mutual funds to interest bearing bank accounts.
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to repeal NASD Rule 1130 and incorporated NYSE Rules 405A, 440F, 440G and 477 as part of the process of developing the consolidated FINRA rulebook.
Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
FINRA welcomes the
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 15, 1989, the Securities and Exchange Commission issued Release No. 34-27249 containing proposed
re: Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting To whom it may concern, the current structure and function of the American Equities Markets has, over a period of many years (& now on display for the whole world to see in the unfolding of the Meme Stock Scandal), been utilized to swindle trillions of dollars from The American
