Summary
FINRA reminds member firms about requirements when using predispute arbitration agreements for customer accounts. Where member firms use mandatory arbitration clauses in their customer agreements, FINRA rules establish minimum disclosure requirements regarding the use of such clauses and prohibit predispute arbitration agreements from including conditions that, among other things, limit
I would like to see you actually enforce your rules. Not reminders, a actual punishment. Also not a "yeah we saw you steal 700 mil so we're just going fine you 70 mil and you can be on your way." No all of it. Everything that was taken, taken back. From what I have seen you don't enforce ur SSR rule, Threshold list rules, naked shorting rules, payment for order flow rules ect
This SEC proposed rule is wholly unnecessary, it does nothing but restrict retail traders with lower net worths from making the same fair trades as those with higher net worths. A rule that seeks to restrict access to investment vehicles using net worth is in fact not a rule. It is a barrier, not unlike a fee, that the middle class must struggle to obtain before theyre allowed to engage by the
Response to the Financial Industry Regulatory Authority (FINRA) proposed rules on leveraged ETFs Leveraged ETFs may be volatile but it is not more volatile than many individual securities. In addition to uncertainties with individual stocks, Investors are able to allocate the use of leveraged ETFs to diverse their assets to fit their risk tolerance against the effects of a volatile and uncertain
FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
This rule is disrespectful and elitist. There are unlimited resources online, many free, that can educate people about all investment products. Rules designed to "protect" investors simply enrich and entrench the wealthy. There will always be "gamblers" who invest unwisely, but the extreme overreaction of this proposed rule is not the answer. All investment
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 of the NASD® Membership and Registration Rules
GUIDANCE
Fee Increase for Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Extension of Time Requests
Fees
Regulation T
Schedule A to NASD By-Laws
SEC Rule 15c3-3
Executive Summary
On May 15, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate
This proposed rule would deal yet another blow to the free market. Everyday Americans should be able to buy and sell securities as they please. Regulations like day trade restrictions, the banning of the creation of 3X leveraged ETF funds, and now this proposed rule continually erode away free market principles at the expense of the average American. Institutional investors have access to low
SEC Approves Amendments to Rules Governing Communications With the Public
