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).
WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.In the newly created role, Talib will be responsible for leading FINRA’s surveillance program, which serves a unique and critical role in fostering the integrity of the U.S. securities markets. As the markets have
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important
Please dont make any changes to the current rules on leveraged ETFs. Its a great tool that regular, individual investors like me can use to grow assets.
I have been investor in leveraged index funds and find them very useful assets. It's necessary for having understanding of basics. it's not a gambling alternative and overregulation's will be hurtful.
Leveraged and inversed funds are a tremendously helpful tool for building wealth in different market conditions. I strongly oppose efforts to limit the availability of these asset types in my investment accounts.
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
ACTION REQUIRED
Electronic Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of February 10, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,880
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.
