To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options
Dear Regulators,
I should be able to make my own investment decisions in publicly traded assets based on my understanding of the risks involved in leveraged, Covered Call, inverse, and non K1 commodity funds without the burden of passing additional tests and the elitist nonsense of minimum asset amounts. My traditional "conservative" stock/bond mix portfolios have all dropped
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The NASD will observe the following holiday schedule for 1994:
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April 1
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Note: The NASD and The
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governors meeting.
The latest edition of the OATS Reporting Technical Specifications dated July 31, 2020 is now available.
This edition includes updates related to:
The delayed onboarding of the Long-Term Stock Exchange for Exchange Route Matching. Specifically, the Market Center ID related to the LTSE was revised to “XL”, a change from what was specified in the previous Technical
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Executive Summary
On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for
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Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved a new Part XII to Schedule C of the NASD By-Laws prescribing requirements for the
By Jason Foye, Chief of FINRA’s Crypto Hub
FINRA’s core mission is to protect investors and promote market integrity. This mission is at the heart of everything we do. An important example of this mission in action is our work to address the unique regulatory challenges presented by the activities of our member firms that relate to crypto assets—also known as digital assets—which are assets
Sec. 9.5 Any records maintained by FINRA Dispute Resolution in the regular course of business, including its stock ledger, books of account, and minute books, may be kept on, or be in the form of, magnetic tape, computer disk, or any other information storage device, provided that the records so kept can be converted into clearly legible form within a reasonable time
