I oppose the proposed restrictions suggested limiting investors the right to invest in cryptocurrencies and other investments identified in Rule #S7-24-15. Please do not pass the proposed rule.
The Manipulative Trading topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
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SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Summary
FINRA seeks comment on a proposal to accelerate arbitration case processing when requested by parties who are seriously ill or are at least 75 years old. The proposal would help ensure that these parties are able to participate meaningfully in FINRA arbitration by shortening certain case processing deadlines for parties and arbitrators under the Codes.
The text of the proposed
While it's nice to see this request from retail investors, good intentions pave roads to nowhere. What is initially needed: - enforcement of existing rules to stop naked shorting - enforcement of existing rules to stop FTDs - enforcement of existing rules to stop dark pool selling of retail orders - enforcement of existing rules to stop labeling shorts as "exempt" from SSR Once the
GUIDANCE
Expungement
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system)
Customer Dispute Information
Dispute Resolution
Expungement
Rule 2110
Rule 2130
Executive Summary
On
GUIDANCE
Best Execution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading and Market Making
Best Execution
Interpretive Material 2320
Rule 2320
Executive Summary
On August 21, 2006, the Securities and Exchange Commission (SEC)
approved amendments to Rule 2320(a), the Best Execution Rule,
to require that
SR-FINRA-2007-021 - The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees
