Displaying 6621 - 6630 of 11756 Results
INFORMATIONAL
District Committees And District Nominating Committees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
District Committee Membership
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Short selling of stocks, payment for order flow (PFOF) and Dark Pool trading should be banned completely. Shorting was banned by the SEC during the 2008 financial crisis and it has been banned in several markets worldwide. Shorting has caused promising companies to disappear due to naked shorting, manipulation and corruption that is rampant and obvious with no rule or law enforcement. Full
The Financial Industry Regulatory Authority (FINRA) regulates a critical part of the securities industry—member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA for the first time is sharing an annual snapshot of some of the data collected in the course of its work.
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 32 issues joining the NASDAQ/National Market System on Tuesday, September 18, 1984, there will be 1,078 securities trading under real-time trade reporting. These 32 issues meet the SEC's voluntary designation criteria.
The 32 securities scheduled to be phased into NASDAQ/NMS on September 18 are:
Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
To whom it may concern, I am writing in support of the proposed changes applied in Reg. Notice 21-19. Particularly as an individual investor in the US financial markets, I am strongly in support of daily aggregation of short interest reporting. I strongly support increased granularity to the account level position reporting. I am adamantly in support of increasing comprehensive synthetic short
Revised Policy for Disseminating Reports of Fewer Than 100 Shares; Effective Date: April 21, 2008
FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data