Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
Sec. 2. Each member, issuer, or other person shall promptly furnish all information or reports requested by the Corporation in connection with the determination of the amount of admission fees, dues, assessments, or other charges.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
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.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
Notice of FINRA District Committee Elections and Ballots
As a retail investor that has garnered a profit over the years trading options as well as holding leveraged ETFs on and off and having gleaned through the wealth of information available to me about these products I don't believe there's any need for further regulation. Both options and leveraged ETFs should be trade-able by "non-sophisticated" retail investors at their own
Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Executive Summary
NASD is issuing this Notice to Members to remind member firms and registered financial and operations principals (FINOPs) of a FINOP's duties and responsibilities under Rule 1022 (Categories of Principal Registration). These duties are applicable to all FINOPs, regardless of whether they are employed full-time or part-time, perform such duties on-site or off-site of the
Listen Now/Download | 36 min. 51 sec.
Thanks very much, Lee [Covington], and it's great to be with you today. Your introduction was very kind, but when you really get down to it, you described two things of significance to this audience: one of which is I didn't seem to be very good at holding a job, and the other which is sadly, I'm one of your Baby Boomers that needs to think
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
To whom it may concern: I have grave concerns that the goals of the 21-19 rule change have too many loopholes and will not meet the stated goals of the effort. In fact, FINRA's minimal efforts at preventing ongoing FTD violations and options and swaps manipulation that circumvents REG SHO and T+2 requirements has led me to believe that FINRA is unable to be trusted as a Self-regulating
