Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
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Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
Ive been recently informed of you trying to impose regulations & restrictions disqualifying normal people/investors from investing into crypto funds. I wanted to express my concern to everyone involved in hurting my portfolio & stopping me from investing into crypto funds such as BITO. I myself should be able to choose my own investments which are right for me, I take financial
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Section 1 (General Information) of the Uniform Application for Securities Industry Registration or Transfer (“Form U4”) to add a new question eliciting information to identify locations as residential supervisory locations (“RSLs”); (2) amend FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) to remove the reference to a list of RSLs and the quarterly timeframe for member firms to provide the list to FINRA and replace it with the requirement that member firms provide current information identifying all locations designated as RSLs in the frequency, manner and format as FINRA may prescribe; and (3) make conforming changes to Section 6 (Registration Requests with Affiliated Firms) of the Form U4 and amend the Form U4 Instructions to account for the new question soliciting RSL information (“RSL Question”).
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
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
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District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the
I (not regulators) know my financial situation, investment time horizon, and how I want to structure my portfolio to meet my financial goals. I should be able to choose investments that are right for me and my family without government interference.
Leveraged funds are an important component of how my portfolio is structured, and I shouldn't have to go through any special process like
Dear Sir or Madam,
I am writing to express my fear and displeasure in relation to the regulations being considered by FINRA that would prevent investors like myself from accessing products like leveraged ETFs.
I have worked for a decade in the financial industry designing systematic financial products and am a CFA charterholder.
I, like many others, have held positions in leveraged investments
