Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum
I oppose restrictions being considered associated with certain investment instruments, e.g., cryptocurrency funds. Various financial instruments are critical to portfolio diversification and risk mitigation. Commodities, precious metals, real estate, hedge funds, stocks, bonds, mutual funds, exchange-traded funds, annuities, insurance policies, trading on margin, short-sales, futures, and
To whom it may concern.
I believe that current FINRA regulations are sufficient, if followed by investors, to protect investors from investing without knowledge of the specifications of various investments, including such investments that might be inverse in nature and/or leveraged.
The investor always has the choice to use a broker who is supposed to act in a fiduciary manner.
Personally, I use
Per your request for Regulatory Notice 21-19 regarding Short Positions, please find my comment below. The current requirements for short sale reporting, thorough as they may seem, are woefully inadequate in terms of depth, clarity and public transparency. I'd like to take the time to address what I see as issues that clearly and with immediate care must be addressed when considering short
Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.
FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately. St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC). St. Louis will be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States and will report directly to FINRA President and CEO Robert Cook.
img.snapshot{border:1px solid #cccccc;margin-top:10px;}
.blueButton{
background-color: #1063A0;
color: #fff;
border-radius: 10px;
display: inline;
font-size: 14px;
max-width: 200px;
padding: 15px;
text-align: center;
text-transform: uppercase;
transition: all 0.3s ease-out;
width: calc(100% - 30px);
}
.blueButton a{color:#ffffff}
.Report_TOC{
img.snapshot{border:1px solid #cccccc;margin-top:10px;}
.blueButton{
background-color: #1063A0;
color: #fff;
border-radius: 10px;
display: inline;
font-size: 14px;
max-width: 200px;
padding: 15px;
text-align: center;
text-transform: uppercase;
transition: all 0.3s ease-out;
width: calc(100% - 30px);
}
.blueButton a{color:#ffffff}
.Report_TOC{border:
Summary
FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity to participate in the Maintaining Qualifications Program (MQP). This new enrollment period begins March 15, 2023, and will end on December 31, 2023.
Questions concerning this
For years, the London Interbank Offered Rate (Libor) set the benchmark for global interest rates and impacted trillions of dollars in financial activity, leading many to call it as “the world’s most important number.” However, following controversies and reform efforts after the 2008 financial crisis, regulators in the United States and United Kingdom began exploring a replacement benchmark rate
