FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
New Rate for Fees Paid Under Section 31 of the Exchange Act
(a) Reportable TransactionsMembers shall comply with the Rule 7200A Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be
These comments are in regard to FINRA's Regulatory Notice 22-08 request for comments.
I am a non-professional, active investor who monitors and manages my personal portfolio every day. As such, it is important to allow active investors like myself to make their own determination of what products to use at what time to achieve their financial goals. Individual investors, not regulatory
Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
Earlier this year, the provisions under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") with respect to withholding on dividends and interest was repealed by Congress.
Shortly after the repeal of withholding, the Interest and Dividend Tax Compliance Act of 1983 ("
Thank you FINRA for opening the opportunity to comment on Regulatory Notice 21-19 to all investors. Theoughout Throughout last two years, I, along with many others, have enjoyed expanding my knowledge base of the stock market. The more I've learned about the stock matket, the less faith I have in the system. I can open an app on my smart phone anywhere in the world, send money through my
It is my opinion, as a new investor, that clarity of information be the most important aspect of regulation. Beyond tagging each individually purchased share, there is little to no way to keep track of shares that have been shorted, and the delivery process is convoluted. Without going into specific details, and instead focusing on the motive aspects of reporting and regulation, the want and
Effective Date: October 26, 2016The Financial Industry Regulatory Authority, Inc. ("FINRA") provides FINRA widgets (the "Widget(s)"), and the data and information available therein through any underlying databases (the "Content"), as available on or through the FINRA Website (the "FINRA Website"). This FINRA Widget terms of use ("Terms of Use")
The ways in which people communicate have changed with advancements in technology, and so have the tactics of “cold calling” boiler rooms. Today’s boiler rooms go beyond the telephone to contact potential investors, including pitching through messaging apps and social media. Regardless of the method of contact, the scammer’s goal and many of the red flags are the same.
