SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning
In April 2021, FINRA published Regulatory Notice21-17 seeking feedback on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within the industry.
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceResearch
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved amendments to Article III, Section 24(b)(2) of the NASD Rules of Fair Practice and the Board of Governors' Interpretation thereunder that conform the definition of "bona fide research" to
I oppose restrictions on the right to invest in public investments. Please let me choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged few. I understand the risks and complete loss of principal of these investments. I shouldn't have to go through any special process like passing a test before I
Good morning. It has come to my attention that you are possibly looking to eliminate leveraged inverse ETF funds, or access to them by "normal" investors". Or, you would require going through a "special process" or test in order to have access to them. Please understand that NO ONE gets into these products without first doing research and learning about them. They are
I not you regulators should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. This is how people make their dreams come true. This is yet another infringement on people's freedom of choice and ability to pursue their passions I shouldn't have to go through any special process like passing
I don't feel the government should be putting restrictions on my right to invest in common public investments. I understand that all investments have some inherit risk and the leveraged funds can be much more risky. I should not have to take a test or prove my net worth in order to be able to take part in these public funds. All of these funds release a prospectus that help investors
GeneralDo Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A+ offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with
Re: Investing in leveraged and inverse funds I am submitting this because not only do I have the right to share my views, but the regulators are required to take my comments into consideration in deciding whether to move forward. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not
