<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
The Communications with the Public 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.
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective April 1, 1998, tier sizes for 547 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1997, tier sizes for 537 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
Under Rule 4710, the maximum Small Order Execution
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
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 8 representative
North Region Committee, District 9 representative
South Region Committee, District 7
First off, the amount of corruption in today's market is unbelievable. To see FINRA, an organization that is supposed to protect the integrity of the market; come out with baseless claims to try and keep the public from arguably the safest investment opportunities the market has to offer, definitely seems as if there's an agenda that's not in the best interest of the
Sir, While I appreciate the level of market transparency you are trying to achieve by implementing rules that speed up the price reporting process, I question the benefit that market participants will enjoy by shortening the reporting time frame from 15 minutes to 1 minute. I think this is especially the case with smaller trades done typically by retail investors. Our firm usually does government
My first impression of this proposal is that it is a reaction to activities of individuals during the recent pandemic. Those who followed Wall Street Bets chasing meme stocks succumbed to, as Glenn Frey wrote in Smugglers Blues, "The lure of easy money is a very strong disease." As such the cure for such affliction would be better found with "Gamblers Anonymous"
It has come to our attention that under the regulations being considered by FINRA I may not be able to buy leveraged and inverse funds like TQQQ, SQQQ and others. I would like yo urge you to NOT implement these regulations. These funds are important to my and my husbands investment strategies and restricting these funds will hurt both us and others we have encouraged over the years to use to
