Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
As of December 20, 1995, the following 99 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,003:
Symbol
Company
Entry Date
SOES Execution Level
ANIC
Anicom, Inc.
11/21/95
500
CDLI
Consolidated Delivery & Logistics, Inc.
11/21/95
500
FFIC
Flushing Financial Corporation
11/21/95
200
IVAC
Intevac, Inc.
11/21/95
200
LSREF
LaSalle Re Holdings,
Cryptocurrency funds such as BITO are a part of my asset allocation. Traditional asset allocations consisting of just equities and bonds are too narrow, and I feel commodities and crypto help flush out a more balanced portfolio.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) extend a temporary hold on a disbursement of funds or securities or a transaction in securities for an additional 30-business days if the member
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) adopt FINRA Rule 4111 (Restricted Firm Obligations) to require member firms that are identified as “Restricted Firms” to maintain a deposit in a segregated account from which withdrawals would be restricted, adhere to specified
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
I am contacting you to express my opposition to notice 22-08. I have been investing in leveraged funds for well over a decade, and find it inappropriate for you to limit my freedom to do so without undue interference from you. These are my assets, and I believe it is well within the scope of my prerogatives to decide how to invest them.
In particular, I find it offensive that I should have to
As a long time investor the idea that I can not understand the risks of complex and leveraged funds is ridiculous. I regularly use these type assets to hedge against things like the current rise in interest rates and do not require the government to hold my hand while I use them. The market is not a FDIC insured bank account and investors are regularly informed that they can lose money and if
Sarah Wallis is Senior Vice President of Regulatory Operations (RegOps) Program Delivery. In this role, she supports FINRA’s efforts to continue strengthening and integrating its regulatory operations. To that end, Ms. Wallis oversees initiatives that advance an integrated operating model for RegOps and establish the standards, best practices, and infrastructure required to drive consistent
I fully expect FINRA to act against the best interest of the retail investor. FINRA has proven time and again that regulations are designed to protect the corporate, "sophisticated" investor rather than the everyday "retail" investor.
"Treat all investors equally" means there shouldn't be roadblocks put in my way to invest in certain
