Please stop telling small private investors what they can and cant invest in; our money is green like everyone elses and if we want to take the added risk of leveraged investments we should be able to accept that risk and do so. Requiring accredited investor status is particularly egregious as it excludes 90+% of investors. Its 2022, people are more educated about investing than ever and we need
This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI).
FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023.
The second enrollment period is available to those who terminated their registration between March 15, 2020, and March 14, 2022.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
SEC REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has proposed Rule 15c2-6 to address fraudulent, deceptive, or manipulative acts and practices used in connection with high-pressure telephone
Beginning Monday, September 24, 2018, FINRA will add a new Daily Short Sale Volume File to its TRF – Regulation SHO data page. This file will provide aggregate daily short sale volume data by security that has been reported to the new FINRA/Nasdaq TRF Chicago.
FINRA will also begin publishing a Monthly Short Sale Transaction File for NMS stocks reported to the FINRA/Nasdaq TRF Chicago
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-3b Exhibit B - Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
Credits
Debits
1.
Free credit balances
I was born and raised in Eastern Europe during the Cold War when the socialist governments were choosing what is allowed for the individuals. USA became my second homeland because of the freedom of the people to conduct their own business. Individual investor should choose their investments, not regulators. The Financial Industry Regulatory Authority (FINRA) notice from March 8, 2022, seeking
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2023 or the first quarter of 2024.1 FINRA reminds members that all such filings they submit to FINRA must be made electronically
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Dear Sir/Madam, Let's remove Rule 15c2-11 and help release the millions if trapped and lost retail money in Expert market. This rule was supposed to help traders but it stole money from everyone unable to sell these stocks. Seems criminal 100% as the public was not warned properly to sell and leave the market. It has destroyed the OTC market with hardly any volume or interest anymore. Just
