Do not limit my ability to invest in leveraged and inverse funds. Doing so will only further rig the system in the hedge fund and large firm favor.
Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
GUIDANCEResearch Analysts and Research ReportsEffective Date: March 30, 2004SUGGESTED ROUTINGKEY TOPICSContinuing EducationExecutive RepresentativesLegal & ComplianceRegistered RepresentativesRegistrationResearchSenior ManagementTrainingRegistrationResearch ReportsExecutive SummaryThe Securities and Exchange Commission (SEC) recently approved amendments to NASD rules to finalize and
Please be advised, due to an issue with when-issued trading in Cash Management Bills, FINRA re-generated the daily treasury aggregate files for the following dates: 2/13, 2/14 and 2/23. Additionally, the monthly file for the month of February has been updated.
All the updates are available via www.finra.org/treasuryaggregates
For any questions regarding this data, please contact TRACE
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Thank you for your letter of February 9, 2022, requesting information regarding the arbitrator selection process FINRA Dispute Resolution Services (DRS) uses, and how at process. FINRA takes this issue very seriously and is fully committed to ensuring the integrity of the arbitrator selection process.
Do not limit my ability to purchase BITO or XBTF or ETCG or GBTC, etc please. I want to be able to buy any digital asset or crypto asset that are on the market. You don't need to limit my selection. Why I don't need your limitations is because: It Hurts Investors: It denies me the freedom to choose investments that could help me achieve long-term financial security. Is Arbitrary and
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Schedule C to the By-Laws that would establish a new level of registration — below the level of "Representative" — for persons in member firms whose activities are limited to providing current securities quotations and
FINRA 21-19 is a regulatory change we must incorporate and enforce in our markets. It is clear to me as a retail investor that the integrity of the US market has been strained, and personally I have lost almost all faith in it. This sentiment stems from the regulatory and enforcement failure in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short
