(a) If a party objects to producing any document described in Document Production Lists 1 or 2 or any document or information requested under Rule 12507, it must specifically identify which document or requested information it is objecting to and why. Objections must be in writing, and must be served on all other parties. Parties must produce all applicable listed documents, or other requested
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") to enhance investor protection by expanding the types of information NASD makes available through its public disclosure program; to address fairness and privacy concerns by excluding certain information currently disclosed through the program based on the status or disposition of
INFORMATIONALExpungementEffective Date: April 12, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementArbitrationCentral Registration Depository (CRD®)Customer Dispute InformationDispute ResolutionExpungementRule 2130Executive SummaryOn December 16, 2003, the Securities and Exchange Commission (SEC) approved new Rule 2130 concerning the
Every year, millions of older investors become victims of financial exploitation, resulting in billions of dollars in personal losses. Read more about rules that allow brokerage firms to take steps to protect seniors and other specified adults.
Hello:
I am concerned about the possibility of being prevented from investing in various investments, like Leveraged and Inverse Leveraged funds.
I agree these are not for the uninformed investor. But in my case, I am informed. I used to have a series 7 license in my past. I do my own research, and make my own investment decisions. I am knowledgeable.
Please don't take away the
It is not the government's role to determine an individual's ability to understand their own finances. Therefore I oppose this notice quite directly. Information about "complex" and inverse financial products is freely available online, and any able minded adult is able to find this information easily. Just because an individual may not fully understand a
SEC Leveraged and inverse funds are used in particular situations to hedge or enhance certain positions I may have. Rather than selling some or all of a position and causing taxes, I can use an inverse fund to protect my investments. Today, my broker provides information to ensure I have the needed information about using these funds. Please don't add increased scrutiny or requirements to
The Trusted Contact Persons topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
November 26, 2001
OSO (Order Sending Organizations) Administrators at OATS Transmitting and Reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of OATS issues. There are three types of OATS contacts:
OATS Administrator - The primary contact for the OATS program.
OATS Technical
FINRA should provide daily updates on short interest and failure-to-delivers. If that isn't feasible, then at minimum a T+1 timeframe should be implemented. Rampant naked shorting along with a financial toolbox that favors large institutions goes against what a free market is all about. As a retail Investor, I do not have the same means or access to the types of information that larger
