It's all right our freedom freedom of speech we should be allowed to say what we want rather if you like it or not it's all right if you don't like what we say walk away that simple can't wait for Trump to get back in the office they're destroying America needs to stop
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
I think the current system of allowing financial institutions to transfer their short positions is highly ineffective and damaging to the stock market as a whole and must be stopped. If parties involved in shorting companies cannot cover their positions after failing to deliver in the already existing time periods and have passed the fail to deliver threshold list requirements I think they should
Comments: As part of a long-term, diversified portfolio, a minor portion of my holdings lie in leveraged ETFs. The largest risk associated with these leveraged funds equates to nothing more than simple mathematics. An additional risk, which has already proven true in the past for other financial tools, is the prohibition of the common investor and trader from the use of these instruments.
I am
SEC Approves Amendments to FINRA’s Code of Procedure
Notice of FINRA District Committee Election and Ballots
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Executive Summary
On August 25, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rules
FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
