I disagree with the FINRA Regulatory Notice #22-08. Leveraged and inverse funds are important financial assets to allow individual investor to increase their gains and protect their assets. Please treat us as adults who are responsible for our own decisions and not children who need to be looked over. Therefore, there is no need of a test to determine if we're allowed to invest in these
FINRA’s rules should be modernized to address economic costs, evolving markets, technology advancements, and regulatory inefficiencies. Below are key areas for modernization, including specific rules, guidance updates, and regulatory overlaps that warrant attention.1. Focus Areas for Modernizing FINRA RulesSeveral FINRA rules are outdated, overly burdensome, or fail to account for modern trading
For the period of 5/1/2025 through 5/31/2025AASPIDA FINANCIALASPIDA FINANCIAL DISTRIBUTORS, LLC2327 ENGLERT DR., DURHAM, NC 27713MAILING ADDRESS: ENGLERT DR, 2327, DURHAM, NC 27713ADMITTEDBBCS GLOBAL MARKEBCS GLOBAL MARKETSNAME CHANGED TO: THE ULTIMA GLOBAL MARKETS (USA), INC.BCS GLOBAL MARKETHE ULTIMA GLOBAL MARKETS (USA), INC.NEW NAME OF: BCS GLOBAL MARKETSBSG SECURITIES,BSG SECURITIES, LLC1000
TO: All NASD Members, NASDAQ Foreign Issuers and Other Interested Persons
The NASD has adopted revisions to Section C of Part II of Schedule D under Article XVI of the By-Laws which contains eligibility and authorization requirements for inclusion of foreign issues on the NASDAQ System. These revisions to the qualification requirements were formulated in response to the strong concern expressed
Summary
This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.
Questions concerning this Notice should be directed to:
Amy C. Sochard, Vice President, Advertising Regulation, at (240) 386-4508; or
Ira D. Gluck,
Please do not bring regulations that stifle adoption and investment. This is all part of freedom being able to invest in an asset (precious metals, precious stones, stocks, bonds, currency or digital currency etc), claiming America being a free nation, and not allowing financial freedom such as investment as long it's within guidelines of law that protects the investor from scammers and
In both 2017 and 2018, FINRA issued Reports on Examination Findings in response to firms’ requests that we make publicly available a summary of key findings from FINRA’s examinations of member firms. Firms use this information, as well as effective practices observed by FINRA at certain firms, to anticipate potential areas of concern and improve their procedures and controls. (We subsequently refer to the two prior years’ documents as the “2017 Report” and the “2018 Report.”)
By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way, including by restructuring departments, building new technology capabilities, improving coordination across different functions, enhancing transparency, and identifying ways to be more risk-focused.
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
