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Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) is informing NASD members of the 1999 District Committee members and the District Nominating Committee members.
Questions concerning this Notice may be directed to the District
Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
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
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
I have no use for regulations that limit my investment choices. Free will and freedom to choose is essential to my American way of life. Authorities who make believe that they know more about me than I know about myself have exceeded the limits of government of the people, by the people, for the people. Authoritarians war against my freedom of choice and in no way represent my own best interests
Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate review of
(a) Acceptance, Waiver, and Consent Procedures
(1) Notwithstanding Rule 9211, if the Department of Enforcement has reason to believe a violation has occurred and the member or associated person does not dispute the violation, the Department of Enforcement may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions