The Private Placements topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of January 12, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,881
No robbery of our asset! It is everybody rights to buy tqqq!
In April 2021, FINRA published Regulatory Notice21-17 seeking feedback on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within the industry.
As a programmer, a major source of frustration for me regarding many facets of our market relates to the fundamental lack of speed and automation endemic to our financial reporting pipelines. In a system which promotes and rewards algorithmic and high-frequency-trading, any position which would be reported and analyzed as a document and by a human would (and very likely is!) obsolete, potentially
Summary
The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
Everyone should be able to invest. This is free market capitalism, if we want to keep the benefits of free market capitalism, we must keep it a free market. These proposed rules are discriminatory, and its clear as day.
I should be able to make my own decisions on leverage assets.
Everyone should have the right to invest in risk bearing assets
It is the best possible outcome for you to allow freedom in trading assets.
