Overview – FINRA’s Funding Portal Rules (FP Rules) apply to firms that register with the U.S. Securities and Exchange Commission (SEC) as funding portals pursuant to the SEC’s Regulation Crowdfunding (Reg CF) and that become FINRA FP members. Prospective FPs should review, in addition to the rules under the SEC’s Reg CF, Regulatory Notice 16-06 (SEC Approval of FINRA Funding Portal Rules
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
tHE LEVERAGED AND INVERSE FUNDS ETFS HAVE SERVED US WELL. dO NOT CANCEL OR CHANGE THE RULES FOR INVESTING IN THEM.
Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate
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Executive Summary
The Securities
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
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Executive Summary
On January 13, 1999,
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Hello, as a normal American, I am very happy to hear about many of the proposed rule changes. We need far greater oversight on short selling. We need that data to be available to the public, and that data needs to be available to finra and the sec, too! People that are allowed to have a hedge fund, market maker, and exchange under one parent company, that then hide their positions behind data
