FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Summary
The Securities and Exchange Commission (SEC) has approved a proposed rule change to amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) to conform to the requirements of the Fair Access to Investment Research Act of 2017 (FAIR Act).1 The rule change creates a filing exclusion under Rule 2210 for investment fund research reports that
Summary
FINRA has multiple committees that facilitate effective engagement with its 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 of this Notice is to encourage employees of member firms and other interested parties with diverse skills, backgrounds,
This proposed rule is like treating people like children. This rule is horrible and restrictive. Bad!! Bad!! Bad!!
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 to: (a) revise the definition of the term "underlying index" to include all indexes underlying standardized index options and other indexes that meet certain specified criteria; and (b) allow members to calculate the position limits,
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to add new NASD Rule 3380 to prohibit members and associated persons from splitting any order into multiple smaller orders for execution or any execution into multiple smaller executions for transaction reporting for the primary purpose of maximizing a monetary or in-kind
Writing new rules is equal to nothing but [REDACTED] until such rules are enforced. Collecting data is equal to nothing but an empty action until such data is used in a way to enforce the rules. Regulatory bodies have failed miserably in terms of keeping the market fair and transparent for all participants.
Hi there, thank you for reading my comment. I support all of these new rules. However, re: rule #1, I would like to see that in conjunction with rule #2, not as an alternative to it. I also believe all short interest data should be reported on a daily basis not just to FINRA but also to the public as this data is crucial to some trading strategies and I believe it is available to institutions but
Proposed Rule Change to Extend a TRACE Pilot Program
