2017 Annual FINRA Election Cycle and Procedures Overview
Surveillance and ExaminationsFINRA regularly examines funding portal members to determine compliance with FINRA's funding portal rules and SEC requirements. FINRA conducts examinations of each funding portal within the first 12 months of membership and no less frequently than once every four years thereafter. In addition, FINRA conducts ongoing surveillance of funding portals'
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
We should get fair reporting real time on the buys and sells as they are placed in the market. Brokers and market makers make billions every year by payment for order flow and parking orders. They spent millions to get faster fiber optic cables for those fractions of a second faster receiving of the data as Knowledge is and forever will be power. Why is there a t plus 2 or some reports only send
We absolutely need more transparency in the market. As more and more retail investors are joining the market, many of them are learning that they don't have access to the same information or ability to perform actions within the market that some of the huge institutions and market makers do. Naked shorting, dark pool trading, payment for order flow, etc. are all things that when examined at
As a retail investor, it is very clear and evidenced through obvious stock price manipulation that the market as it is constructed today favors the hedge funds and market makers. Put simply, retail investors want a more transparent market for everyone. Some things that would help: 1. Accurate data reported in real time (short interest, FTD, etc…). Short positions should be reported and released
This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,
For detailed information regarding amendments to FINRA Rule 4530, please see Regulatory Notice 13-08.1. How can a firm affirmatively state that a Form U4 amendment is to also be applied to satisfy a Rule 4530(a)(1) reporting requirement?Effective March 4, 2013, when a firm files a Form U4 amendment involving a criminal matter, regulatory action, civil judicial or customer complaint/arbitration/
SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 24, 2023 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
