SUGGESTED ROUTING*
Legal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Central Registration Depository (CRD) was expanded in 1989 to enable firms to file one Form BD for both NASD membership and state licensing requirements. In the operation of this CRD system, it has become evident that states
Anything that could be done to increase simplicity in the rule book would be a huge benefit to the market. I AM NOT SAYING TO DECREASE REGULATION: I am advocating for an increase of regulation with incredibly simple language so that it is accessible to anyone. OVERSIGHT AND TRANSPARENCY SHOULD BE THE UTMOST AND ULTIMATE PARADIGM. Increase transparency on all positions, real and synthetic, long,
I 100% support broader and more detailed reporting on short sales. This information would lead to a fairer market through transparency and allow all parties to better understand the marketplace.
To Whom It May Concern, I believe FINRA themselves said it best in their proposal, "FINRA believes this information would assist FINRA in understanding the scope of market participants’ short sale activity, specifically regarding the use of less-traditional means of establishing short interest." My only question is why in the world has FINRA not required ALL short interest? Isn't
Executive Summary
On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
Investors of Color are Entering the Market at a Faster Pace than White Investors and Tend to Be Much Younger, Report Shows
I want the ability to leverage my account during periods of market uptrends. With the information available on the internet, YouTube, investing tools (Stochastics) and groups I believe I can make decisions that will increase my net worth.
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Executive Summary
On May 29, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc.(NASD®) Rule 3110 (the Books and Records Rule) that (i) change the definition of "institutional account" to include the accounts
As previously announced, FINRA will enhance the aggregated reports and statistics for U.S. Treasury securities. The new implementation date for the enhancement is February 13, 2023. At that time the following enhancements will take place:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on February 14, 2023, for the week ending
