Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings they submit to FINRA must be made
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6732 to provide FINRA with authority to, subject to conditions, exempt transactions by a member alternative trading system (“ATS”) that meet specified criteria from the transaction reporting obligations of FINRA Rule 6730 (
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 18, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,012. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Staff in FINRA’s Regulatory Review and Disclosure unit must review and approve all proposed names for firms applying for FINRA membership, a Broker Dealer or Funding Portal designation; and for current FINRA member firms seeking a name change. A firm may reserve a name by submitting a complete Firm Name Reservation Request Form. If the requested name(s) include the words “Adviser” or “Advisor,”
Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
I strongly disagree with this proposed regulation. The current disclosure-based system serves investors very well. Public investments should be available to everyone, not just a select few. This regulation would do more harm than good for individual investors by limiting investment choices. Every individual investor should have the freedom to do their research and select the investments they want
Please consider my concern that additional burdens, placed by government, on my ability to select the investment vehicles of my choosing, is not merely unwanted, but antithetical to the entire concept of risk/reward, upon which our system is predicated. I strongly urge that regulations be focused exclusively on facilitating efficient investments and leave the particular manner, and options for
It's time that government respect the rights of the people to determine the course of their financial affairs. To be ignorant of cryptocurrency, via block chain technology is the fault of no one else but lazy politicians. The banks are just as spiteful due the fact that decentralized peer to peer access and accounts is the best challenge to a stagnant centralized banking system. Value is
Comments: Hello, I am an individual investor, and use Direxion as my main ETF products for very nice returns. I have a home-built system to monitor and notify me when to "buy low, Sell HIgh" so the radical movement of their ETF's don't bother me. I don't need any new 'enhancements' or regulations getting in my way of using their funds please.
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. As noted in the Regulatory
