Background
FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry. A growing number of FinTech firms have been embracing new technologies, pioneering innovative products and developing new client-oriented financial services business models. Many traditional financial service providers are also rethinking their business models,
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 oppose any restrictions to my right to invest in public securities like leveraged and inverse funds. As a private citizen I, not a regulator, should be able to choose the public investments that are right for me and my family. I don't feel I should have to go through any special process like passing a test before I can invest in leveraged and inverse funds. I did the homework BEFORE
TO: All NASD Members and Other Interested Persons
The Department of the Treasury is amending Form 4789, the Currency Transaction Report, which is used by broker-dealers to report cash transactions of more than $10,000, as required by SEC Rule 17a-8 and the Currency and Foreign Transactions Reporting Act of 1970.
The new form becomes effective on July 1, 1986.
BACKGROUND
The Currency and Foreign
I can’t express how glad I am to know someone is still looking out for the small-account trader…Many others have already stated the most obvious reasons to do away with the financial industry’s antiquated “[Fin.] Crow” laws, b/k/a “Pattern Day Trader (PDT) rules” – discriminatory pay-to-play minimums, forcing traders to take debilitating losses rather than be branded ‘PDT’/closing-orders-only,
Comment Period Expires September 30, 1994
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalLegal & ComplianceTrading
Executive Summary
With the enactment of the Government Securities Act Amendments of 1993, the NASD's regulatory jurisdiction was intended to encompass, among other things, sales practices relating to government securities. In conjunction
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
The lack of regulation and accountability from governmental security agencies allowing hedge funds to manipulate markets through various tactics like synthetic shorting is nothing short of financial treason against the American people. To allow these large privately owned institutions the ability to cheat and pray upon average American citizens and investors is an absolute mockery of the
Dear FINRA,
The(Your) tentative unnecessary regulatory interference, deemed potential unwarranted regulatory adjustments, by the majority of investors in U.S. financial Markets', and the/their use of 'free-trading' instruments in the purchase and sale of, ie., Currencies, Commodities, Bonds, Notes, Stocks, ETF's, etc., such as and in particular, those '
I support a far more rigorous disclosure regime when it comes to Short Sale Reporting. As a non-American investor I've been shocked by the harm blatant naked shorting does through rigged financial markets and hopeless under-regulation. If large scale changes won't happen my trust in the American financial markets will not return. In that case I'll never invest again and will spend
