The Technology Management topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
Dear FINRA Regulators,
In a free country, is it not the people, rather than unelected regulators, who get to decide what to do with their own money? That's what living in a free country is all about: individual liberty AND personal responsibility. In the market place, this plays out as the opportunity for reward and the possibility of risk. Virtually every trader knows that they may lose
Hello, I am discouraged to know that there are regulations and restrictions being proposed that would severely hurt my investment strategy. Levered and inverse funds are very important to me and I strongly oppose such regulations and restrictions. Myself and my neighbors regardless of designation, education, or wealth should be allowed to choose for ourselves what risks we want to take. We are
I oppose restrictions on public investments to so-called "complex products" including leveraged and inverse funds. Preventing the general public from accessing these types of investments will subvert the ability of non-high-net-worth individuals from offsetting losses during periods of economic retraction as well as capitalizing during times of volatility with calculated risk-
I oppose the SEC Proposed Rule #S7-24-15 for the following reasons 1. It is a form of Central Control for the "government" to impose its judgement on investors about investment vehicles that play a key role in risk mitigation for portfolio managers. 2. It is way to impose additional costs on investors and barriers to market efficiency. When markets are made less efficient people will
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
I don't want to be parented by a government agency that wants to take away investor's rights and destroy a free market system wherein investor's determine their own suitability and investment goals. The proposed changes are an invasion into investor's private affairs. I very well can read a prospectus and decide for myself without any further governmental
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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Effective April 1, 1997, tier sizes for 692 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
