To FINRA Regulators:
The proposed regulations in #22-08 are a threat to investors everywhere. One reason the USA is a great place to live, work, and invest, is financial freedom. Few places in the world offer the upward mobility available here in the USA. One reason for our economic growth is the ability of investors of all financial levels to invest as they see fit.
I am a smaller investor. I
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Summary
Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products. The new requirements for initial and maintenance margin are detailed below.
In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio
Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
https://www.linkedin.com/in/john-rhodes-14282b1a9/recent-activity/shares/ https://www.linkedin.com/posts/john-rhodes-14282b1a9_finra-requests-information-from-member-firms-activity-6928406241413087233-BSsr?utm_source=linkedin_share&utm_medium=member_desktop_web Let me get this straight, the Securities and Exchange Commission (#SEC) was created to protect investors and maintain fair
Testimony by Vice Chairman Stephen Luparello Before the Subcommittee on Securities, Insurance, and Investment
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Market Makers
Riskless Principal
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supplement guidance provided in
NASD Notice to Members (NTM) 06-44 relating to the application
of the Trading
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier, Fail-Control Department
On January 31, 1984, the United States District Court for the District of New Jersey appointed a Temporary Receiver for the above captioned firm.
Court order permits firm to settle open contracts with other broker-dealers. All inquiries regarding the firm should be directed to the Temporary Receiver, as noted below:
