"Hello and good evening. I'd like to start by thanking you for being open to comments from retail traders. I am a retail trader from germany. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself
Hello and good morning/afternoon/evening. I'd like to start by thanking you for being open to comments from retail traders. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself so that I, as a young
Hello and good morning/afternoon/evening. I'd like to start by thanking you for being open to comments from retail traders. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself so that I, as a young
The Series 32 exam—the Limited Futures Examination-Regulations—is a National Futures Association (NFA) exam administered by FINRA.
OverviewThe following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
Regulatory Obligations and Related Considerations
Regulatory Obligations:
Exchange Act Rule 15c3-3 (Customer Protection Rule) imposes requirements on firms that are designed to protect customer funds and securities. Firms are obligated to maintain custody of customer securities and safeguard customer cash by segregating these assets from the firm’s proprietary business activities and promptly
