Hello FINRA I'm a simple and uneducated ape, I'm fairly new to the market. I have seen verified data that shows companies (such as Melvin Capital and Citadel) funding media outlets to reinforce their short positions on a nearly perfect cyclical basis, I have seen people on social media paid for directly by such companies, and even worse I have companies ravage through money that wasn
(a) DefinitionsFor purposes of this Rule and any interpretation thereof:(1) "Communications" consist of correspondence, retail communications and institutional communications.(2) "Correspondence" means any written (including electronic) communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period.(3) "Institutional
Bulletin Board Designated As "Qualifying Electronic Quotation System"
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" for purposes of certain penny-stock rules that became effective on January 1, 1993. The SEC
I have been responsibly using leveraged ETFs as a single-digit percentage of my portfolio for almost three years now, and I personally find the notion that they now could be restricted from individual investors to be utterly outrageous. I am stuck dealing with grossly subpar investments via my pension and Social Security (while I understand the rationale for Social Security writ large), and I
FINRA’s Member Regulation department is conducting a review with respect to products linked to the CBOE’s Volatility Index (VIX). The review will focus on the supervisory processes followed by firms to identify and mitigate sales practice risks associated with recommendations to non-institutional purchasers of VIX-linked products.
While agree with the spirit of this proposed rule, in that investors who are at risk of being taken advantage of must be protected. I am concerned that the implementation and interpretation of this rule may negatively impact retail investors who are investing for themselves away from retirement accounts. I personally know many individuals who opened a Robinhood account during the pandemic and
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Fixed Income
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Research Conflicts of Interest
SEC Regulation Analyst Certification
Supervision
Rule 2711
Rule 3010
Background
In December 2005, the New York Stock Exchange (NYSE) and NASD
(the
The Neutral Corner – Volume 2—2025Mission StatementFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsProposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection ProcessProposed Rule Change to Amend the Codes of Arbitration Procedure to Accelerate the Processing of
Both firms and individuals must be registered with FINRA to conduct securities business with the investing public. Firms must meet certain criteria to attain membership with FINRA, and register with the U.S. Securities and Exchange Commission (SEC), other self-regulatory organizations (SROs) and state regulators. To become registered as representative and/or principal, associated persons
