The Neutral Corner—Volume 3, 2019
Mission Statement
FINRA’s Website Has a New Look
Arbitrator Withdrawals Undermine the Arbitration Process (by Steven B. Caruso)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
New Portal Form: Award Information Sheet
Removal of Oath of Arbitrator and Disclosure Checklist PDF from FINRA's Website
Register for the Portal Today
You have made this notice complex. I only agree with giving the investor more information 2c. If you want to regulate something make Companies that issue a K-1 to shareholders be required to use a stock symbol ending in K.
My investments are my own choice. I interact with these investment options with a full knowledge of their potential risks. There is more than sufficient information available to the average investor to ensure full comprehension of these vehicles. Do not restrict this accessibility.
Regulators should not determine what risks or opportunities that I want to apply to my portfolio construction. Hands off the tools I use to hedge and diversify my portfolio. There is already plenty of literature and information on the risks associated on these investments.
As an investor, I would like to be able to choose the best investments for my personal situation. I have access to a financial planner and I am well informed of the risks in trading leveraged securities.
I am against any further regulation.
(a) No member or person associated with a member shall cause to be executed an order to buy or sell a security or a related financial instrument when such member or person associated with a member causing such order to be executed has material, non-public market information concerning an imminent block transaction in that security, a related financial instrument or a security underlying the
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Please make this happen. There’s just no reason why we can’t have up to date information in this day and age. Transparency is important to a functional capitalist system
FINRA has initiated a multi-phased effort to overhaul its registration and disclosure programs, including the Central Registration Depository (CRD) -- the central licensing and registration system that FINRA operates for the U.S. securities industry and its regulators, and that provides the backbone of BrokerCheck. In June 2018, we implemented the first phase of the transformation through a new
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
