With the availability of information over the internet it is no longer reasonable to think that investors are not educated in all aspects of funds trading. Last year a group of talented amateurs was able to commit a short squeeze against major bank holdings that were too sure of their own intelligence. This clearly follows that basis to protect vested corrupt interest to the detriment of the
INFORMATIONAL
Quotation Reporting
Effective Date: June 27, 2003
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KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading And Market Making
Market Making
OTC Securities
Recording And Reporting Quotation Data
Executive Summary
On March 27, 2003, the Securities and
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
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
Notice of FINRA District Committee Elections and Ballots
Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
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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
