(a) Recovery of cost of services. FINRA shall, in accordance with this section, collect member regulatory fees that are designed to recover the costs to FINRA of the supervision and regulation of members, including performing examinations, financial monitoring, and policy, rulemaking, interpretive, and enforcement activities. FINRA shall periodically review these revenues in conjunction with
Improving the amount, quality, and timeliness of publicly available data from financial institutions and markets is absolutely crucial to providing a free and fair market. I support any and all changes that would enable such improvements. There is no legitimate reason for so much of the financial reporting to be, at best, hidden from public view…and be, at worst, outdated to the point of
Transparency in every corner of financial reporting is REQUIRED... NO EXCEPTIONS! Any changes within short sale reporting should spread more transparency and penalties for inaccuracies whether, intentional or not should be heightened to maximum. Financial white collar crimes are not taken serious enough
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
Lisa Horrigan is Senior Vice President and Chief of Staff for FINRA Market Regulation and Transparency Services (MRTS). Ms. Horrigan oversees a broad range of operational, regulatory and business planning activities for MRTS. She also advises and provides strategic support and direction to the Executive Vice President and senior leadership team to further enhance the department’s regulatory
Good morning,
I am writing to discuss the impact that limiting leveraged funds would have on me as a private investor. I, as a private investor, feel confidently that I have the knowledge and experience to make personal decisions of how I invest my own money. I do not feel that it is in the purview of regulators to make determinations as to where and how I am able to use money for long-term and
I oppose any regulations that affect my choices on which funds I can buy. I am a responsible adult and make financial decisions for me and my family. Funds should be available for anyone to buy, not just the wealthy or privileged. I should not have to go through special processes or jump through hoops in order to buy funds that support my financial plan. I am capable of understanding leveraged
Notice of SFAB Election and Ballots
Summary FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other
Customers who pursue civil remedies or arbitration claims against investment professionals cannot always recover on their judgments or awards. Customers encounter this challenge across the forums in which they may pursue action— whether state or federal court, a dispute resolution forum administered by a regulator, a private arbitration venue, or otherwise — and across the range of financial
