Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
I'm an individual investor who trades leveraged products and options on an almost daily basis. Leveraged products and options have become the cornerstone of my investment strategy and provide the income stream I need to live on in my retirement. I've spent over 12 years as an active investor and have put the time and effort into learning how such products work using all the
The FINRA rule is nothing more than an scheme to steal wealth, power, and autonomy from individuals. People have the intelligence and information necessary to make their own investments without regulatory tyranny. Stop it.
All short positions, short interest, and related information should be immediately filed for public disseminating and with penalties for retroactive amendments filed after the end of the period
I am a user of the referenced types of funds. I think strong and simple warnings (perhaps enhanced, with some check-off from a user), at most, are adequate to support informed and free choices, and handle the concerns here.
The only people that these restrictions would benefit would be wealthy individuals with inside information. The Pelosi's have enough money. Stop stacking the system against people like me. Oh, by the way ... I vote.
I oppose this rule. This is just another way to protect Wall Street and suppress retail investors. Retail investors have more than enough FREE information and support to understand any investment strategy.
Last Voting Date: January 30, 1998
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Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to vote to approve amendments to the NASD By-Laws to require executive representatives of members to update firm contact information electronically, to maintain
On Thursday, April 21, 2016, FINRA will hold an industry call and WebEx presentation to discuss the Tick Size Pilot Data Collection efforts.
As described in a December 2019 TRACE Technical Notice, beginning June 1, 2020, members were required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.
Due to current market conditions, and to allow members to adequately plan
