Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
Continuing Membership Guide - Frequently Asked Questions
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck
The Direct Market Access Controls section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Whether or not I am investing at this time is inconsequential. What is important is my rights under the constitution. You have no right to violate my constitutional rights. To insult my intelligence, is unexceptable. To limit my rights to protect myself and/or my family's livelyhood with financial security is unforgivable and a violation of my rights. We do not live in a society where
This regulation doesn't help me as a consumer or investor. It hurts me. It takes away my options and my ability to decide what is right for me and my finances. The attitude that individual investors are too dumb to understand "complex" investments is offensive. I do my homework and choose my investments based on my own risk profile, investment vehicles and asset classes that I
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Executive Summary
On May 29, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc.(NASD®) Rule 3110 (the Books and Records Rule) that (i) change the definition of "institutional account" to include the accounts
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As of October 20, 1995, the following 82 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,913:
Symbol
Company
Entry Date
SOES Execution Level
ANMWV
Advanced NMR Systems, Inc. (Wts 8/30/00 WI)
9/21/95
200
BVAS
Bio-
FINRA has a scaling problem. A problem that is observed in FINRA's inability to provide oversight and accurately regulate institutions as global markets expand and overlap. Transparency in our markets is essential. Transparency with respect to short interest reporting is severely lacking. Not only just the typical direct borrow and short transaction but also the use of derivatives and other
I'm writing to request more transparency, fairness and accountability in our financial markets, as all of us rely on our regulatory entities for that assurance. There are some things that are of particular interest to me: 1. Transparency of Buy/Sell orders in the market as a whole, including but not limited to OTC/ATS off market trading. 2. Information market makers have when it comes to
