Dear SEC I am appalled by your recent proposal to restrict investment in leveraged and inverse ETFs to investors with a high net worth. Particularly inverse ETFs are one the few convenient ways that smaller investors presently have to hedge their risk against a bear market. By restricting these funds to the very wealthy, your rule's primary outcome will be that high net worth investors can
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 2860 to: (1) apply the NASD's options position and exercise limits to members that effect trades for non-member brokers and non-member dealers; (2) require members to report the options positions that they effect for non-member brokers and non-member dealers
NASD has filed with the SEC a proposed rule change to require members to review and, if necessary, update their executive representative designation and contact information on a quarterly basis.
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
INFORMATIONALAmendments to NASD Rule 3370, Affirmative Determination RequirementsEffective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsNASD Rule 3370Short Sale OrdersExecutive SummaryThe Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "
08-52 - SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
View the recorded sessions from the 2019 FINRA Regulation Best Interest Conference.
For technical questions, please call (800) 321-6273.
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FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
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FINRA CAT LLC provides an RSS feed of its website updates
Board Re-Elects Chair, Re-Appoints Public Governors, and Approves Three Rulemaking Items
WASHINGTON—FINRA’s Board of Governors met on July 12-13 for the third time in 2023. During the meeting, the Board re-elected Eric Noll as Board Chair, re-appointed three public governors and approved three rulemaking items. The Board also continued its engagement with key stakeholders, hearing from
