The Suitability section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
To whom it may concern, I am writing in support of the proposed changes applied in Reg. Notice 21-19. Particularly as an individual investor in the US financial markets, I am strongly in support of daily aggregation of short interest reporting. I strongly support increased granularity to the account level position reporting. I am adamantly in support of increasing comprehensive synthetic short
Hi I believe that short selling of any kind is bad, while showing more data is a positive step. Shorting still has too much scope for bad practice. There’s a conflict of interests as soon as a party shorts a company. Too many of the main players in today’s market have ties in all areas of the market. Allowing them to manipulate and drive theses companies further down to there benefit. I could
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and
I request that ALL shorting must be reported daily, and that ALL dark pool trading must be reported daily. Also all dark pool trading MUST be bought and sold within the dark pool, or all LIT trading is bought and sold in the LIT market. Not trading all the buy orders into the dark pool and sells into the LIT market. Honestly the dark pool should not even exist. Shorting needs to be redone as well
I'd like to point out your "What We Do" section on your website. Many of retail investors are well aware that you actually do nothing at all in the grand scheme of things. You give out measly fines to make it appear like you're doing your job, when those same institutions that you fined made billions of dollars in profit. You may write rules, but you certainly do not enforce
Precious metals IRA frauds frequently target older workers and retirees because they typically have more money saved in their qualified retirement accounts than younger people. Before you consider rolling over your retirement plan to a gold or silver IRA, here are 10 questions you should ask.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education
First, there is no rule that can be put in place where the repurcussions are fines. Fines are a cost of doing business. Period. The street always makes far more money illegally then they pay in fines. 150% minimum fines. Now, that said, self reporting is a joke. We have the systems and technology available to ensure trades are marked correctly, that they are delivered adequately, not
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
