Im writing to provide strong rebuke of FINRAs Regulatory Notice 22-08 and its attempt to limit investors/traders (I/Ts). What FINRA is proposing is tantamount to treating I/Ts like immature children. Its highly evident in the statement FINRA released: However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks.
INFORMATIONAL
SEC Rule 504 And Intra-State-Only Offerings
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Trading & Market Making
Free-Riding and Withholding
IM-2110-1
NASD Rule 2710
NASD Rule 2720
NASD Rule 2810
Underwriting Compensation
Executive
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Innovation and collaboration are two of FINRA’s four core values. Michael Hawman, Director of Technology for Delivery Services, returned to FINRA after participating in AWS re:Invent in 2022 with a proposal that would align these two values for FINRA’s business and technology divisions.
Comment Period Expires: July 15, 1997
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Research
Systems
Trading
Joint NASD and NYSE interpretation that individuals involved in the development of certain quantitative equity research ratings model are not “research analysts” as defined by the SRO research analyst conflict of interest rules.
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Summary of Exemption Decision Re: Rule 2710 Issued by Corporate Financing Department
The proposed rules will add more regulations that are not needed. As an individual investor I enjoy access to various products that can be used for any strategy I want to employ. Sometimes a strategy will involve a leveraged or inverse funds, sometimes it maybe about involving cryptocurrency, sometimes it is just about having access to a specific sector.
Before making any investment every
The following checklist helps identify the basic requirements for members under the new and amended recordkeeping requirements to the SEC broker/dealer books and records rules.
