SUBJECT LINE: Regulatory Notice 21-19 To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional
In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-based, illegal, or near-
Executive Summary
The annual meeting of FINRA firms will take place on or about Tuesday, August 22, 2017, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 21, 2017.
Eligible individuals who have
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to shorten the standard settlement cycle for most broker-dealer transactions.
Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
I don’t know a ton about finance or the stock market. I know less about options and derivatives (I did watch a PBS program about Brooksley Born once) and that is all I really knew on the matter. But I’m learning more every day and the more I learn the more I’m convinced that there is perhaps something rotten in the DTCC, SEC and FINRA… to name a few. It seems financial regulators refuse to do
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has recently issued its views on frequently raised interpretive questions regarding Rules 15c2-4 (the "Rule") under the Securities Exchange Act of 1934 (the "Act
Nominee for Vacant FINRA Board of Governors Small Firm Seat
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.
To whom it may concern, As a new retail investor, I want to see more transparency in our markets. I've learned that big financial institutions are abusing their privileges given to them; most notably their use of dark pools and naked short selling. An effective way to earn back the trust of retail investors is to put these often illegal practices on the forefront so we can find out what is
