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jettson

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jettson

Re: hedge_fun post# 37242

Wednesday, 04/30/2014 10:34:21 PM

Wednesday, April 30, 2014 10:34:21 PM

Post# of 59584
What relationship are you brewing between FINRA and ticker auth?

FINRA is the rule maker and regulator for member broker dealers, the S.E.C is all over security specific re-orgs, filings, suspensions yada yada.

Should be looking toward the DTCC and the SEC. FINRA has nothing to with this unless Zo is looking toward becoming a broker dealer.
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