It is not the responsibility of an outside party to decide what is best for me or my family. They have no knowledge of me or my situation. It is my responsibility to review, assess risk and act in my best interest. To that end all risks and rewards are my own. Please stay out and stop the over regulation and coddling based on your need to control and "protect the less/under informed".
To Whom it May Concern: As an educated citizen of the United States of America, I should have the right to invest in securities that best suit myself and my family. Since I am educated, I have the ability and the responsibility to be informed about the positions I purchase and the investments I make. As such, I can benefit from the profits and bare the losses of my own decisions. The government
I, not regulators, should be able to choose the public investments that are right for me and my family. Public investments should be available to all the public, not just the privileged. I am capable of understanding leveraged and inverse funds and their risks. Leveraged and inverse funds are important to my investment strategies. I cannot buy puts in all my investment accounts. Inverse funds are
On This PageEligibility CriteriaResponsibilitiesFirm or Identity Provider (IdP)FINRA or Service ProviderIntegration RequirementsCertificate HandlingSupported ProtocolIdP Entity IdEmail DomainAuthentication FlowSAML2 Details SP MetadataNameId FormatBindingsAttributesSP Message Algorithms:GlossaryEligibility CriteriaYou must be a firm or other type of organization approved by FINRA for SSO
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
Brokerage accounts allow investors to buy and sell numerous types of investments. When opening a brokerage account, investors have two main options: a cash account or a margin account. The difference between them is how and when you pay for your investments.As the name suggests, when you buy securities with a cash account, you must do so using cash, paying for the purchase in full. If you want to
Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
REQUEST FOR COMMENT
Order Audit Trail System
Action Requested By: July 10, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Senior Management
Trading
Order Audit Trail System
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members and other interested parties on proposed changes to the OATS
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
State participation in CRD Phase II, the Form BD (Uniform Application for Broker-Dealer Registration) and Form BDW (Uniform Request for Broker-Dealer Withdrawal) processing phase of the CRD system will begin
FINRA reporting should fully cover all positions held in publicly traded companies. The reporting period should follow the standard settlement period. All reporting should be made available to the public within 2 hours of market close on a daily basis. All positions, including short positions should be required to be included without exception. Failure to accurately disclose a short position in
