SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
Terms and acronyms candidates may encounter in FINRA qualification exams.
The SEC has
SR-FINRA-2018-013 - Approval Order
a proposed rule change to establish a new FINRA Trade Reporting Facility in conjunction with Nasdaq (the FINRA/Nasdaq TRF Chicago). Firms that intend to be a participant in the FINRA/Nasdaq TRF Chicago must submit a FINRA/Nasdaq TRF Chicago Participation Request Form to the FINRA/Nasdaq TRF and FINRA, in accordance with
Comment Period Expires September 13, 1999
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Executive Summary
Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also
Dear FINRA REGULATORS:
As a registered rep. for Hornblower & Weeks at 40 Wall, NYC, in 1960 and later at their uptown offices on Park Avenue at 50th, I became a devotee of Elliot Wave Theory and Edwards and Magee's Tech Stock studies. I had several times visited the packed, busy floor of the NY Stock Exchange on Broad Street, which today is virtually barren of human life.
I am writing to protest the planned FINRA regulatory notice #22-08 that would restrict my right to invest in leveraged and/or inverse ETF products. These types of investment products are not for everyone but they do serve an important role in hedging and investment strategies for experienced investors who understand and can managed the inherent risks. Furthermore, banning these investment
Dear FINRA, I am very concerned to learn about possible upcoming restrictions regarding my ability, as an independent small investor, to use complex investments such as leveraged and inverse ETFs. I am scared that these public investments will cease to be available to normal people like me and reserved only for a "privileged elite" of super-rich people and institutions to get richer. I
In the United States, each individual should and have the right to be responsible for ones own decisions regarding his/her own life matters, including ones assets and possessions. Everyone ought to be able to invest in all public securities, since they are to the public. Diversify ones portfolio is a balanced way to invest. Leveraged and inverse funds are part of the vehicles to diversity, which
In my opinion, investors should have the right to decide which public equities, bonds, ETF's and mutual funds they want to buy. The FINRA plan puts this right on the government and regulators, not us. This eliminates our right to decide what is best for me.
Although it is too early to tell, we might be experiencing a major shift in the markets. Let me explain. For the last 40 years
