FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Preliminary Note: The requirements of this Rule are in addition to other existing member obligations under FINRA rules and the federal securities laws, including obligations to determine suitability of particular securities transactions with customers and to have a reasonable basis for any recommendation made to a customer. This Rule is not intended to act or operate as a presumption or as a
eFocus Filing Transmission
Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Why still, is there any reason for trades to be not reportable? Secrecy within trading needs to stop. There needs to be more transparency from all parties involved. “...considering including in FINRA-disseminated short interest data, where available the TSO and public float for securities?” What do you mean “where available”? You are the Financial Regulatory Authority, you should make that
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INFORMATIONAL
District and National Adjudicatory Council Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees, the District Nominating Committees and the
National Adjudicatory Council (NAC). The
Limiting the use of of leveraged, inverted or other funds deemed "complicated" is a gross disservice to the retail investor.
People should be allowed to invest their money however they see fit, and by taking these products off the market, you could actually cause more financial harm than you think you are preventing.
Imagine a scenario where someone is invested in a
Why has this troubling threat of severe restrictions shown up again to damage retail investors- many of whom are middle-class hard-working law-abiding Americans- by trying to take away the ONE SINGLE WAY we have to create decent financial protection and secure retirement for ourselves? The mega-money people in the Wall Street game have their insider information, algorithms, and just-this-side of
We should be allowed to invest in funds we like to invest. all regulator should make sure that funds disclose their investment practice clearly and funds are not doing any fraud or providing miss information to investor. regulators should not discriminate small investors but provide all exceptions to big investors assuming they are very well educated and risk aware.. infect big investors are on
