The Manipulative Trading section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
08-50 - Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsSenior Management
Short Interest Reporting
Intermarket Surveillance Group
Executive Summary
This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month.1 Attachment A outlines the revised Short
SUGGESTED ROUTING
Senior Management
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Systems
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Executive Summary
In Notice to Members 96-32, NASD
Regulation, Inc. (NASD Regulation)
informed the membership of its
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of
All my liberty's seem to be under attack I can choose how to invest with out regulatory over reach. I dont need need or want this proposal. You do not need to protect me from myself I am perfectly capable to choose investments. Please keep your rules out of my life.
Allow us the right to invest what we want. Why does the government always think they can control what its people do? If we had all these rules in place when this country was founded we would cease to exist as country. It's our hard earned money we are investing.
Complex financial products(Leveraged and inverse funds) are well explained in disclosures and everyone is well aware of the risks involved before investing in them. You should not have to be an accredited investor or go through special processes to have access to these types or investment options. We do not need additional rules and regulations on these types or products.
In regard to the proposed rule 22-08: Individuals need to have the freedom to choose the public investments that are right for ourselves and our family. This is a matter of freedom in public investments and should not be limited to the privileged few. I am adamantly opposed to more regulations which limit my investments. Let's keep America free from such tyranny.
