SEC Approves New Requirements for Alternative Trading Systems
The concept behind interval funds is a higher return in exchange for non daily liquidity. While the concept appeals to clients with surplus liquidity, the regulatory oversight is poor All prospectuses I have read mislead the client and the FA to believe the investment may be redeemed on a specified date. What is never discussed is the optionality the fund has where they may limit redempyions to 5
I don't know about this short sale rule. I live in Sweden and I always thought that the US is a country that treat's everyone equal. Since I bought stock on the US market the only thing I feel is that every time someone mentioned a rule I just take it whit a grain of salt because nothing happens whit the market. You can make thousand more rules but it doesn't matter because no one
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As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange
Under Rule 2710, a broker/dealer may pay finder's fees to a joint venture for the referral of issuers that are potential corporate finance clients. If the joint venture is not required to be registered as a broker/dealer, such payments would not violate Rule 2420.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 7470 (Exemption to the Order Recording and Data Transmission Requirements) to extend for three years FINRA’s ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System (“OATS
To whom it may concern at FINRA,
It is my understanding that you are considering adding more regulations and rules to certain kinds of investments. I ask that you Do Not do this. While I understand certain rules and regulations have their time and place, I can see no reason why additional regulations are needed in this particular case. Not only would they be a burden to the average investor, they
Monthly Disciplinary Actions December 2019
I am against the FINRA Proposed Rule #22-08. Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. Rule #22-08 upends that principle, giving regulatorsnot methe power to decide what public securities I can and cannot invest in. Investors have the right to freely access the entirety of the public securities
Based on the information provided in your application, and conditioned upon Tradeweb Direct providing the items listed below, the staff has determined that Tradeweb Direct meets the specified criteria and hereby grants, pursuant to FINRA Rule 9610, Tradeweb Direct an exemption from the trade reporting obligation under FINRA Rule 6730, subject to the monthly transaction reporting obligation and remission of the transaction reporting fees based on the fee schedule set forth in Rule 7730(b)(1) for each exempted sell transaction occurring on the ATS.
