Elisabeth Craig is Senior Vice President & Deputy, FINRA, Credentialing, Registration, Education and Disclosure (CRED), responsible for oversight of registration functions and testing and continuing education.
Prior to joining FINRA, Elisabeth was employed as Counsel with DCS Advisory, an investment banking firm, where she focused on all aspects of legal and compliance matters. Elisabeth
Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and
The FINRA Board of Governors will consider the following rulemaking items at its December 2011 meeting.
(a) When and How Transactions are ReportedEach member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within one minute of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified
On October 12, 2022, the SEC amended Rule 17a-4. FINRA has prepared a chart that summarizes the most significant changes.
The money I invest is my money, not the government. The investment is small and is in a separate asset class from stocks, bonds, ETF's etc. This thinly disguised attempt to take over the banking system, making everything requiring permission, will not be obeyed.
SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws on deep engagement with its member firms. Among other benefits, this engagement enables FINRA to better understand and address risks to investors and markets; better adapt its oversight to changing business practices and markets; better support innovation and the deployment of new technologies and
Our country should lead in innovation and capitalism. This space should be our pinnacle of achievement. Don't let the legacy banks and systems kill our future. Regulate deftly and with an easy touch. Let us lead again!
I am strictly against limitations of trading leveraged or inverse tools. It is a usefull way how to enhance profit or hedging a portfolio. I just want to keep the system running freely as it is currently now. Thank you Ivan Cenov
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