The Fixed Income Mark-up Disclosure 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.
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Executive Summary
The NASD is publishing this Notice to remind members that new Section 46 of Article III of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any dividend, payment, or distribution on
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official (as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
No FINRA Proposed Rule you are not protecting the retail investors if you was helping you wouldn't let the market makers, hedge fund etc do what they want manipulation in the stock market.
FINRA announced today that it has appointed Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement. Gubb’s appointment is effective July 22, while Glynn’s appointment is effective in September. Both will report to Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA.
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
I am infuriated about the current proposed FINRA Rule #22-08! I, not some buerocratic regulators in Washington, D.C. should decide where, when and how I invest my money. It is my money, that I have earned and that I fully am aware of the potential risks, pitfalls, benefits, and otherwise that I put myself in when I invest in any investment - traditional or otherwise. I should not need to jump
Ive been free to invest however I choose. I am against a rule to prohibit my trading unless I comply with yet another government mandate protecting the small number of idiots out there
As an investor i understand risk and rewards associated with 3xleverege ETF as well inverse 3xleverege ETF .And I am totally against and rule imposed on small investor which will discourage investing.
Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas
