Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies
WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety
I believe more transparency is needed any the dark pools need to be more transparent as well. The fines and penalties need to be increased so that the crime wouldn't be worth the cost of the crime. You have people taking interest in the stock market just to get robbed due to manipulation and synthetic shares. You will find that more people can be made to use the market fairly and people
SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws on deep engagement with its member firms. Among other benefits, this engagement enables FINRA to better understand and address risks to investors and markets; better adapt its oversight to changing business practices and markets; better support innovation and the deployment of new technologies and
I should not have to go through a special process in order to invest in public securities, like leveraged and inverse funds. We are capable of understanding the risk and do not need special treatment. Leverage and Inverse funds have helped protect my investments, but are a limited portion of overall portfolio. Please consider your important service to the health of the financial market through
To Whom it May Concern:
I am very concerned about potential regulation of leveraged and inverse funds since this is my primary investment strategy. Any restriction of my right to invest as I deem appropriate will significantly impact my financial life, and provide no benefit to me, and potentially cause great harm. Freedom of choice is especially important in these turbulent times. This is as
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.“In recent years, the brokerage industry has continued to evolve and develop innovative services and technologies that have allowed millions
This page provides electronic access to materials for registered attendees of the 2019 FINRA New York Region Member Forum. Materials are also available electronically via the conference app. Please check back regularly as we continue to add session materials; all materials will be posted by the start of the conference.
Session Materials
Thursday, December 12, 2019
9:00 a.m. – 9:05 a.m
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of July 27, 1995, the following 72 issues joined the Nasdaq National Market, bringing the total number of issues to 3,829:
Symbol
Company
SOES Entry Date
Execution Level
BRGP
Business Resource Group
6/28/95
500
NERAY
Nera AS (ADR)
6/28/95
The FINRA Board of Governors is holding its final meeting of the year, with Board committees giving consideration to multiple issues.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and responding to the
