I am an adult, and can accept the responsibilities of my investing decisions. I don't need a regulator to tell me how to invest my personal finances. The lottery is perfectly legal and ran by governments as a tax on the poor.
Leveraged and inverse funds are an important part of my investment strategy. They don't take a degree in rocket science to understand. As with investing in
I am infuriated about the current proposed FINRA Rule #22-08! I, not some buerocratic regulators in Washington, D.C. should decide where, when and how I invest my money. It is my money, that I have earned and that I fully am aware of the potential risks, pitfalls, benefits, and otherwise that I put myself in when I invest in any investment - traditional or otherwise. I should not need to jump
A listing of general registration, membership, fingerprint processing, qualification examination fees.
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
FINRA experienced an issue on December 23, 2024 with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of November 18, 2024 (NMS Tier 2 and OTCE). The issue has now been resolved and all files and data have been published on the website. If you have any questions, please contact FINRA Business Services.
FINRA customers using a VPN to access the MPP products’ (ADF, ORF, TRACE, TRF) FINRA test network (NTF) will be required to make a configuration change by close of business, May 3, 2024.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 21, 1987, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,850. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
