September 2, 2004NASD reminds member firms and non-member reporting and transmitting entities to regularly update contact information via the OATS Web Interface. NASD also urges firms to include a valid, working email address as part of the contact information. NASD sends updates concerning OATS via an email push. This email goes to all contacts in the OATS Web Interface that have included a
FINRA member firms should be aware of a supply chain attack leveraging data exfiltrated from Salesloft Drift—a third-party platform that connects the Drift AI chat agent with a Salesforce or Google Workspace instance, among others. The breach described below exposed data that could increase the risk of credential stuffing, spear phishing and social engineering attacks against member firms and their vendors. To date, we are aware of multiple impacted third-party vendors used by FINRA firms. FINRA has notified the member firms who use the affected vendors or Salesloft.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
I think some basic online information for informed consent and modest means should be sufficient for most investments. The current accredited investment limit severely restricts the ability to become an accredited investor. These limits should be much lower.
Stocks should not be exchanged in unregulated, unmonitored dark pools. Furthermore, dark pool information should be easily accessible and have personally identifiable information tied to it in an effort to track the source of the share.
As a retail investor, I firmly believe that the market NEEDS more transparency and regulation. If the FINRA is going to collect information on short interest accounts, arraigned financing agreements, and Failure or To Delivers, they should collect as much information as possible and retail investors should be able to use that information to make informed decisions. A. Publication of Short
FINRA Announces New Web-based System for the Collection of Short Interest Positions
I would like to get more frequent information on short % and and not delayed information from days past. This is ridiculous that we have to be requesting this when it should be the norm. Thank you for your consideration.
Hello, I was saddened to hear the news of regulations that are being considered. I understand where for the concern about protecting individual investors by restricting these assets from being sold. However, I would like to bring up two things that I think are overlooked - 1. The internet 2. Technology The internet now allows investors to easily gather information about these products and become
