By Jason Foye, Chief of FINRA’s Crypto Hub
FINRA’s core mission is to protect investors and promote market integrity. This mission is at the heart of everything we do. An important example of this mission in action is our work to address the unique regulatory challenges presented by the activities of our member firms that relate to crypto assets—also known as digital assets—which are assets
<p>Applicability of NASD Rule 3030 to an associated person filing a membership application with the NASD to form a new broker/dealer.<br />
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As an individual investor who has invested in complex instruments for years, I am opposed to these regulatory controls. They are over-reach by the government on the assumption that people are stupid and should be ruled rather than have the freedoms. The barrier to these instruments will not only create obstacle for investment, it will dramatically increase the cost to access these instruments as
I strongly oppose any limitations that may be placed on investors who want to participate in short funds or leveraged funds. I have been investing in the stock market since 1993 and fully understand the risks inherent in these types of funds. When used properly to hedge a portfolio they can be very important. I strongly suspect that rules like this one being proposed will end up hurting the
Please understand the consequences of the proposed rule, I need flexibility on investment opportunities and this rule could stop my ability to determine my own investing strategy. I don't need a certification to make the right decision on how I should invest my own money. My money, my risk, no need for anyone else to be involved. Please do not overact because some people play the market and
More regulatory rules need to bet set for for hedgge funds creating synthetic shares. They borrow shares that don't exist then have to cover them (FTD) after a certain amount of time. Time should shortened to 5 days and there should be absolutely no way of the Hedge funds getting out of it once 5 days has been reached. The rules need changing!
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 26, 1986
The amended NASD Rules of Fair Practice, proposed by the NASD's Ad Hoc Committee on Rule and By-Law Amendments, which reviews and revises the NASD's By-Laws, rules and interpretations, are attached for comment by members and other interested persons.
The Committee's review began with adoption
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance Meetings
Rule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7
