Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South
The Variable Annuities 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.
Market makers and Hedge funds have turned the stock market into a casino. The practice of short selling and even worse naked short selling are nothing short of criminal. Allowing these firms to manipulate the price of shares at will, in dark pools, without any threat of consequences is reprehensible. How the SEC continues to allow this practice shines light on their impotence and questions the
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Executive Summary
NASD Regulation, Inc., reminds members of their obligations under the Free-Riding and Withholding Interpretation (IM-2110-1) with respect to venture capitalists and the cancellation safe harbor provisions. This information was previously provided to
As FINRA’s technical service provider, Nasdaq supports FINRA client electronic connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF).
In addition, data feeds produced as a result of transactions into these FINRA facilities are managed by Nasdaq. This
Testimony by Vice Chairman Stephen Luparello Before the Subcommittee on Securities, Insurance, and Investment
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
I am absolutely oppose limitations on my ability to invest in ANY equities whether they be leverage/inverse, crypto, volatility-linked funds or any other instrument that I am able to freely invest in today.
If you want investors to limit their risks in any investment, ensure that brokers have educational materials on their websites when someone attempts to buy into what might be considered higher
I think this proposed legislation is misguided and goes way too far. It would be like banning the sale of alcohol because some irresponsible people get drunk and hurt themselves. I have used both leveraged and inverse ETFs to hedge my portfolio. Recently I used such ETFs to protect my positions in fixed income securities. If I was forced to sell my bonds and preferred stocks the market makers
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
