November 26, 2001Periodically, important messages need to be broadcast to the OATS user community. The quickest medium is the OATS Announcements Page on the OATS Web Interface. The information posted to the OATS Announcement Page is usually urgent and may affect what you can process or see on the Web Site. It is very important that you monitor the OATS Announcements on a daily basis to see the
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
The Variable Annuities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceTrading
Executive Summary
The Securities and Exchange Commission (SEC) is reproposing to adopt Rule 13h-l and Form 13H under the Securities Exchange Act of 1934. Originally published for comment in 1991, the proposed rule establishes a system for identifying large-trader accounts and transactions, and places certain
Accurate short sale tracking is important, but it’s only as useful as the information given on dark pool activities. Dark pool existence, and how those exchanges are able to integrate shares into major exchanges is beyond fraudulent. I appreciate your efforts, but share selling will never be put into check until dark pools are eliminated.
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related supervisory failures spanning more than six years.
1. When will the Annual Review be available?The Annual Review period is the first 17 business days of the calendar year. The Annual Review section will be available during that time and until the firm completes it.2. Where can I find the Annual Review submitted by my firm?One of the reports available in the FCS Reports section is the Annual Review Report. This report provides the Contacts and
Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
We don't need additional regulations on leveraged funds, I want to maintain my freedom to invest in public securities of my choosing. It should be my decision what I invest in, not yours. I don't need you to decide what is suitable for me. If information provided by sellers is truthful you have done your part and it is up to me to decide what investments I wish to make.
I do not support this regulation. I trade stocks for a living and these vehicles are vital to my ability to make a living. Regulations restricting leveraged and inverse funds are onerous and unnecessary. There are more than enough disclosures required by brokers that can inform the retail investor. These actions will only enrich an already highly-profitable financial industry through the forced
