Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2022.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from December 31, 2021, to March 31, 2022.
Thank you for your letter of February 9, 2022, requesting information regarding the arbitrator selection process FINRA Dispute Resolution Services (DRS) uses, and how at process. FINRA takes this issue very seriously and is fully committed to ensuring the integrity of the arbitrator selection process.
All capital acquisition brokers are subject to FINRA Rule 4111.
Adopted by by SR-FINRA-2020-041 eff. Jan. 1, 2022.
Selected Notice: 21-34.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD Rule 6130 (Trade Report Input) to allow NASD members to use the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") to process transaction fees charged by one member to another member on trades in NMS stocks, as defined in Rule 600(b)(
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until July 20, 2022.
Trade date is the day your order to buy or sell a security is executed; settlement date is the day on which funds and the securities must be delivered. Beginning on May 28, 2024, the new standard for settlement will become the next business day after a trade, or T+1.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) under FINRA Rule 3110 (Supervision).
It comes as no surprise the regulators seek to take away wealth protection tools at the moment of reckoning on their self-serving, malinvestment encouraging policies coming to roost. Nobody went to jail in 2008. Nobody will go to jail in 2022. It's tragic what they have done to this country, and for the life of me I cannot understand why they are doing it.
Invest in what you know. It’s a common investing adage, and employees might think they know their employer better than anyone else. But should you invest in your company’s stock? Owning a stake in the company you work for might have some advantages. However, there are risks you should consider.
