Response to the Financial Industry Regulatory Authority (FINRA) proposed rules on leveraged ETFs Leveraged ETFs may be volatile but it is not more volatile than many individual securities. In addition to uncertainties with individual stocks, Investors are able to allocate the use of leveraged ETFs to diverse their assets to fit their risk tolerance against the effects of a volatile and uncertain
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rule 2210 and Interpretive Materials thereunder, promulgate new Rule 2211, and renumber existing Rule 2211, of the National Association of Securities Dealers, Inc. The proposed rule change would modernize and clarify the rules governing member communications with the public. Among other provisions, the proposed rule
SR-FINRA-2008-062 - Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
As long as profits out weigh the fines… are they really fines? You can keep creating rules with no teeth but all these rules equate to is permission.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
At the 2025 FINRA Annual Conference on May 14, FINRA Chair Scott Curtis discusses topics of interest to FINRA member firms and other stakeholders, in conversation with President and CEO Robert Cook.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed a proposed rule change to Rule 10335 the Code of Arbitration Procedure of the National Association of Securities Dealers, Inc. to extend the effectiveness of the rule for one year, pending Commission action on a rule filing to amend the rule and make it a permanent part of the Code.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: (1) amend NASD Rule 3110(f)(2)(B) to conform to the SEC's recordkeeping rules by extending the time period for delivery of a copy of a customer account agreement containing a predispute arbitration clause from the time of signing to within 30 days of
