FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065:
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Symbol
Company
Entry Date
SOES Execution Level
JARS
Alltrista Corporation
3/24/93
1000
CHCS
Chico's FAS, Inc.
3/24/93
1000
FFBG
First Federal Savings Bank of Brunswick Georgia
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
As announced in August 2018, FINRA plans to eliminate the support of the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting.
FINRA is extending the use of the CTCI protocol for both TRACE and ORF transaction reporting for a period of six weeks beyond the originally announced termination date of February 3, 2020, to allow all users additional time for the
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTransaction ReportingTRACEExecutive SummaryOn June 14, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to Rule 6230(a) of the Trade Reporting and
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
Dear FINRA regulators,
We believe it is an investors right to freely access the entirety of the public securities markets without any arbitrary restrictions. Any restrictions could potentially deny us the freedom to choose investments that could help us achieve long-term financial security.
FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse
I, like many others, am fully capable of understanding market risks and specific investment risks of leveraged and inverse funds. I am capable of doing research, understanding risks, and making a decision on whether to invest. The decision should not be taken away from me or anyone else. If people are allowed to freely buy lottery tickets then so should anyone be allowed to invest in any
