The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
Exemptive relief is granted based on the following considerations: (1) Name was not an MFP at the time the Contribution was made and was not involved in the solicitation of new municipal securities business; (2) the Firm took action once it became aware of the Contribution by instituting a self-ban on new City municipal securities business; (3) the Firm notified Name of her designation as an MFP and the accompanying restrictions; (4) the Firm has agreed to establish information barriers to help ensure the segregation of information flow, minimizing the potential for quid pro quo resulting from the Contribution; (5) the Firm represents that it has corrected the technical political contributions database problems and has established new procedures for direct notification to legal and compliance personnel of additions to the Parent Management Committee; and (6) although the Contribution has not been returned, the Firm represents that reasonable efforts have been made to obtain the return of the Contribution.
Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
Members of FINRA,
Leveraged and inverse ETFs are of great importance to me
and I strongly object to any new restrictions on the usage of these investment vehicles.
I presume that the potential new rules are motivated by the beliefs that 1) these funds are excessively risky and 2) without the new rules, investors will not understand the risks. I dispute both premises. The risks are already
I wish to object to the actions that FINRA is in the process of adopting. I have been trading this type of vehicle for the last 15 years or more and have found no reason that your requirements are meaningful. I request that you make no changes to the current trading rules!
I understand and have been trading leveraged funds for a few years and do not need to have the rules changed years after making it available to me. The leverage is not anywhere near the leverage on options and these do not expire like options do.
Please go ahead and execute ASAP....you have the power to help stop this manipulation! There seem to be many rules proposed and no observable action
Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
