Background
Since we introduced our FINRA360 initiative, FINRA has taken a series of actions to enhance support for small firms, including providing small firms with tools and resources to help them comply with regulations.
A consistent comment that FINRA has heard is a desire on the part of small firms for a tool to allow them to get answers to general questions that
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
As a newer investor, I am appalled at the lack of transparency in the market. The information I have discovered involving dark pools, naked shorting of shares, and hiding FTD's within options is the most blatant forms of manipulation in any field that I have been a part of. How this has been allowed for all these years with only a slap-on-the-wrist penalty is disgraceful. The sad part is
Data transparency is a must of having reliability, responsibility, and accountability within in financial industry. Without the full faith and trust in a fair system, myself and other investors would see no reason to put our hard earned money at risk to the "Wall Street Boys Club". As such, all information about short sale positions, short interest, etc. must be publicly and freely
I would love to see a more timely and accurate reporting of short positions. No-monthly isn’t cutting it. The manipulation happening right now with retail investors money is blatant and should not be tolerated. Recent events have brought to light how unbalanced and unfair the system is for retail investors that pay budgets for these government reporting and enforcement agencies. The market makers
Order execution on the dark pool vs nyse. 1. There needs to be a limit on how many share that can be purchased on the dark pool and sold on the nyse to short a stock. 2. A market maker should not be allowed to handle orders of execution on a stock he or she is shorting. This creates a huge conflict of interest and predatory practices. They will just route your buys through the dark side and your
Sec. 14. Each elected or appointed Governor shall update the information submitted under Section 9(d) regarding his or her classification as a Large Firm, Mid-Size Firm, Small Firm, Public, Floor Member, Independent Dealer/Insurance Affiliate and/or Investment Company Affiliate Governor at least annually and upon request of the Secretary of the Corporation, and shall report immediately
Sec. 9.5 Any records maintained by FINRA Dispute Resolution in the regular course of business, including its stock ledger, books of account, and minute books, may be kept on, or be in the form of, magnetic tape, computer disk, or any other information storage device, provided that the records so kept can be converted into clearly legible form within a reasonable time
Each Industry Member shall maintain and preserve records of the information required to be recorded under this Rule 6800 Series for the period of time and accessibility specified in SEA Rule 17a-4(b). The records required to be maintained and preserved under this Rule may be immediately produced or reproduced on "micrographic media" as defined in SEA Rule 17a-4(f)(1)(i) or by means
