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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Racquel Russell is Senior Vice President, Director of Capital Markets Policy and Head of the Office of Financial and Operational Risk Policy in FINRA’s Office of General Counsel (OGC). In this role, Ms. Russell oversees the Capital Markets Office as it develops new policy initiatives and provides counsel to FINRA’s Regulatory Operations functions and Transparency Services. Ms. Russell also is responsible for FINRA’s policy efforts relating to broker-dealer financial responsibility rules, operational issues, customer protection requirements and margin standards.
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the MRTS team in connection with FINRA’s participation in the National Market System Plans, including the Consolidated Audit Trail and Securities Information Processor Plans.
Please apply rules for better transparency and competition in the stock market. Investor will invest more if they believe in the system. Right now it is questionable.
Beyond belief this is happening day in day out, and is being ALLOWED to continue! Where is the enforcement? Where is justice for all? Where is basic human morality! ? The United States hierarchy is a joke, the world looks on in disgust!
The idea of a "fair" market is completely a figment of peoples imagination at this point. The corruption and "loop holes" that exist to allow the Rich to continue to get rich off the backs of the working average citizen is sickening. The stock market and corruption is rampant amongst banks, hedge funds, market makers, and politicians and government departments. The "connections" are blatant and the clear "turning a blind eye" to it is appalling. The market isn't even worth investing in or listing your company with as it is so easily manipulated by market makers.
increased reporting requirements around the currently broadly abused short selling practices in the stock market (including naked shorting, mis-reporting longs as shorts, re-hypothecated shares, married puts/calls, and fails to deliver) are a step in the right direction, the proposed changes do not go far enough to provide transparency and fairness to the public.