Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD Interpretive Material 1013-1 ("IM-1013-1") to address the applicability of the consolidated FINRA rules to member firms of the New York Stock Exchange ("NYSE") that became members of FINRA pursuant to the membership waive-in process set forth in IM-1013-1.
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We are a newly registered member firm and when I
<p>Secondary market trading in Fresco Index Shares Funds would be consistent with the requirements of NASD Rules 2830(c) and (g).</p>
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
SR-FINRA-2008-011 - Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
FINRA Extends Comment Periods for Rule Modernization Notices 25-04, 25-06 and 25-07.
(a) Designation of Chief Compliance Officer(s)
Each member shall designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
(b) Annual Certification Requirement
Each member shall have its chief executive officer(s) (or equivalent officer(s)) certify annually,1 as set forth in paragraph (c), that the member
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Everyone should be able to invest. This is free market capitalism, if we want to keep the benefits of free market capitalism, we must keep it a free market. These proposed rules are discriminatory, and its clear as day.
This reporting requirement would bring the market closer to full transparency which in turn would give more confidence to the average retail investors that the SEC, FINRA, and the DTCC are concerned about the public interests. I agree this rule should be passed.
