Taking a test for my investment choice repulses me. This law would set a bad precedent and add to government overreach. Let the buyer beware
Any idiot can get married or conceive a child without a test so this regulation represents nothing more than bureaucratic over reach.
For Brokers and Advisers Registered with FINRA
Go to your state securities regulator to perform additional research on brokers and advisers.
Check if the SEC has brought formal actions against an individual.
Check if a financial professional has a criminal record.
For Other Financial Professionals
Commodities and Futures Brokers
CFTC Smart Check
National Futures Association BASIC
I need to be able to choose public investments. Stop this unfair rule change. I do not need to go through any test before I can invest.
I am writing as a humble retail investor. Recent events and research have demonstrated that the entire securities market is built around big players taking money directly from retail investors and legitimate corporations who have zero recourse. The current system for reporting short sales is laughably ineffective. It is completely obscured from retail traders, intentionally preventing free trade
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors, and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.The purpose of this Notice is to promote and provide an overview of the various opportunities for
On Monday, May 5, 2014, FINRA introduced a new tool called the Dashboard that provides information about the status of offerings filed for review in the Public Offering System.
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.Advertising Regulation Electronic Files (AREF)Annual ReportsBlue SheetsCustomer Margin Balance ReportingDerivatives and Other Off-Balance Sheet Items Schedule (OBS)Distribution ManagereFOCUSFINRA Contact SystemFINRA Firm Clearing Arrangements FilingFINRA Rule
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 18, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,012. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
