Effective September 22, 2008, FINRA will begin deducting all delinquent arbitration and mediation fees owed by member firms from their Central Registration Depository accounts.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.
Please implement these rules and reporting requirements. This will add clarity and transparency to the markets
Average people should be allowed to invest to earn additional money or grow their wealth. Changing these rules further divides those who have and those who do not.
NASDR has filed with the SEC proposed new Interpretive Material 2210-5 and conforming amendments to existing IM 2210-2 and Conduct Rule 2210 of the National Association of Securities Dealers, Inc., relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information.
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to postpone the effective date of recently-approved amendments to these rules. The amendments allow firms to develop flexible procedure for the review of
Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Good day, First, I want to applaud your efforts to make things safer for investors, both retail and institutional. The US remains one the safest places to put money to work. I would like to comment on this proposed rule. To be clear, as a retail investor, I do not approve of this rule change. Let me explain my rational. I believe markets respond most to the change in inflation and growth. I
Please keep the existing rules in place. This isn't the time to be making changes for 3x, 2x funds while the market is at its current status. Thanks for your consideration.
The current price manipulation with AMC/GME et al has exposed the stock market corruption. All reporting agencies and SEC rules don’t make a difference in protecting the big money from the everyday average trader. It seems to me that the rules only apply to the small investor and protect big money instead. It’s all an incestuous relationship between the SEC, FINRA, DTCC and the like and the big
