FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has recently issued its views on frequently raised interpretive questions regarding Rules 15c2-4 (the "Rule") under the Securities Exchange Act of 1934 (the "Act
I’m proud to announce that IDG's Computerworld has named FINRA No. 1 among midsize companies on its 2020 Best Places to Work in IT list. This is our ninth appearance on the annual list, but beyond being No. 1 in our category, this one is particularly special.
Here’s why.
The prevailing theme among the organizations that were recognized this year was a focus on career development and
How FINRA Assesses Performance of its Machine Learning Models
Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline. There is still plenty of work in the former scenario, but the latter has become more
First off, the amount of corruption in today's market is unbelievable. To see FINRA, an organization that is supposed to protect the integrity of the market; come out with baseless claims to try and keep the public from arguably the safest investment opportunities the market has to offer, definitely seems as if there's an agenda that's not in the best interest of the
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
The Contra Reporting Firm 20 Minute Compliance Report Card is a monthly status report on compliance for market participants with the requirement that Contra Firms accept / decline / compare trades within 20 minutes of trade execution. It provides information about the number of trades that were accepted / declined / compared within 20 minutes of execution, along with the number of trades that
My first impression of this proposal is that it is a reaction to activities of individuals during the recent pandemic. Those who followed Wall Street Bets chasing meme stocks succumbed to, as Glenn Frey wrote in Smugglers Blues, "The lure of easy money is a very strong disease." As such the cure for such affliction would be better found with "Gamblers Anonymous"
I am taking this opportunity to respond to your potential limitation to using leveraged ETF's. I am a big boy and want to have the ability to use leveraged ETF's. Why is that any different than using margin with stocks. I also understand the contango component of leveraged ETF's. There was a study done by Barron's a few years ago and several leveraged ETF
I truly feel that this new regulation would severely damage any investor that is interested in securing his or her financial future.
Cryptocurrency is the one financial vehicle that is not only affordable to ANY investor regardless of the amount of wealth they may have but that can change an investors financial status overnight.
It is no more risky, than any stock an investor may buy or trade
