Stop trying to regulate financial market and securities and more than they are now.
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
INFORMATIONAL
Callable Common Stock
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Callable Common Stock
IM-2110-6
Executive Summary
On April 24, 2000, NASD Regulation, Inc. (NASD RegulationSM) adopted a new interpretation of high standards of commercial honor and just and equitable
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
I am the most qualified to make the financial decisions that affect MY family.
Financial freedom to choose how I invest my hard earned money.
Public investments should be available to all of the public not just the financially privileged
The Liquidity Risk Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. Keep the government out of the financial markets.
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
