FINRA previously announced it will be modifying the Statistics data on the OTC Transparency Data website to enhance the amount of information that is available to its users.
These enhancements will now occur beginning on Monday, November 21, 2022.
If you have any questions, please contact FINRA Business Services.
Hold media companies accountable for false reported information. Especially well known reporting agencies ( motley fool ) as an example & fine them with high fines not small ones
I'm fine with the proposed regulations IF YOU ALSO make it illegal for politicians to trade on insider information.
Of course you won't do this, so leave the retail investor alone.
We have enough problem competing with political cheaters as it is.
If an investment product is available on the public market, anyone should be able to buy it. There are risks and rewards and they are the responsibility of the investor. The investor does not need special education, nor have above average means. Information on any of these products is freely available.
To whom it may concern: Any and all enhancements concerning reporting on market activities is greatly appreciated. Shorter reporting intervals and all inclusive information is crucial to investor success.
At a minimum we should have transparency in the market to see the same information hedge funds and market makers see also to see short positions that effect market prices
Making sure a person is informed is one thing and you should be checking on that. Making a choice you enter these deals is on the investor and unless it's a scheme of some kind it's our choice where we put our cash.
This Guidance assists member firms with continuing membership applications (CMAs) as part of the implementation of a succession plan or an exit from the broker-dealer securities business (which may or may not be connected to a succession plan).
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior investors and vulnerable adults. This conference includes an expanded focus on FINRA Rules 2165 and 4512—which provide firms with tools to help protect seniors and vulnerable investors from financial exploitation.
