FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System (Regulation T) and SEA Rule 15c3-3(n) to FINRA for approval.
There is no further need for the government to >further< limit my access to leveraged investment funds. Information on the risks is made available to investors and it clearly lays out the uses and risks of these investment products. I(we) do not need further government intrusion into this area of our personal investment decision making and choices.
You should be worried about Congress using insider information to enrich themselves. If the general population wants to risk THEIR money, its THEIR choice if you do this, the effort to make the rich richer while the poor have no hope will become obvious. Let them eat cake is a bad strategy
The Reg BI and Form CRS topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Investors should be able to choose their own investments, regardless of the risk. They bear their own responsibility. SEC should not limit an investors ability to choose their own investments. We know every investment bears risks, and there is plenty of research and information available for investors to make their own decisions for themselves and their families.
Please stay out of my choices as to what securities I purchase. You should restrict your activities to insuring that the information which I receive is complete and accurate and not decide what I should or should not purchase. I have NO confidence in the judgement of a government bureaucrat who does not know what the real world is.
I approve of these actions. Especially, naked call selling with high amounts of volume. This practice is know as synthetic shorting. Its used by funds to drive down price on higher speculative stocks. All information on this info should be accessible to all.
Hello, I'd like to have a faster access to the Short Interest reporting, receiving the information after more than 2 weeks it was released it leaves the retail investor in disadvantage compared with big entities like MarketMakers, HedgeFunds and investment funds,
More information is what we need to achieve the correct price signals for the market. As a small retail investor, the proposed rules would help me to have better, more up to date info on the companies that I am taking ownership in.
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints
WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written
