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FINRA Head to Leave After More Than 2 Years in Rol

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Post# of 100383
(Total Views: 425)
Posted On: 01/24/2023 4:14:23 PM
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Posted By: 100MPH
FINRA Head to Leave After More Than 2 Years in Role

https://www.planadviser.com/finra-head-leave-2-years-role/

15c-211 and Reg-Sho...something wrong at FINRA????

#RetailTogetherStrong
#NakedShort





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Quote:
If the broker-dealer fails to deliver for 13 days, the regulation imposes a “close out” duty to purchase and deliver securities “of like kind and quantity.”

https://www.bloomberg.com/opinion/articles/20...ify%20wall

https://www.scotusblog.com/case-files/cases/m...v-manning/

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