Mr. Rindell is Vice President of Learning, Talent and Organizational Development at FINRA, with responsibility for FINRA’s training and development programs.Prior to joining FINRA, Mr. Rindell led enterprise leadership development and executive coaching at Cigna and played a key role in enhancing performance management, advancing enterprise leadership development and revamping Cigna's
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
I am strongly opposed to this. This will limit the average investors capabilities to build wealth through incredible products only further exaggerating the wealth gap in the US causing a greater dependency on US citizen to rely on federal government financial programs.
I'm not too sure who or what this was drafted for? Who is it either protecting or giving preferential status to?. Feels like an elitist program specifically designed for them cutting out every other Man and Woman. No regulation, free market.
To Whom It May Concern:
I have recently become aware that regulations being considered by you will make it not able for investors like myself to buy leveraged and inverse funds and dozens of other popular investments without taking classes or jumping through some other such hoops. I believe I myself should be the one to make those decisions. I have been investing for well over twenty years
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is planning to implement enhancements to the FINRA equity trade reporting facilities to support the reporting of fractional share quantities. The enhancements require associated updates to FINRA’s trade reporting guidance, as described in greater detail in the Trade Reporting Notice. These enhancements are being
(a) Authority of Adjudicator and FINRA Staff
For the purpose of an investigation, complaint, examination, or proceeding authorized by the FINRA By-Laws or rules, an Adjudicator or FINRA staff shall have the right to:
(1) require a member, person associated with a member, or any other person subject to FINRA's jurisdiction to provide information orally, in writing, or
I. IntroductionFINRA, a not-for-profit organization, is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets. Authorized by Congress, FINRA works to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country—and analyze billions of
To FINRA,
As a professional in the investment industry, I strongly feel the disclosures regarding investment performance and risk are well communicated and transparent regarding leveraged ETFs. It is very simple to understand those products that have 2x or 3x leveraged being specified as DAILY performance.
To limit the ability to invest in those products or to remove them completely would create
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of
