SummaryThe purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.A formal notice of the NAC election and ballot
On Monday, January 25, 2021, from 9:30 a.m. ET until approximately 9:57 a.m. ET, the FINRA/Nasdaq TRF Carteret experienced a networking issue that resulted in trades in Nasdaq-listed symbols being disseminated to the SIP in an untimely manner. Reporting by clients to the FINRA/Nasdaq TRF Carteret was unaffected. There are no actions that need to be taken by clients as a result of this
By end of business on Monday, August 19, 2019, FINRA will convert the 2014 (Q2) through 2018 (Q1) ATS Transparency Data quarterly tables to the .xlsx format in Excel. Quarterly files from Q2 2018 onward are already posted in the .xlsx format.
If you have any questions, please contact FINRA Business Services.
The Portfolio Margin and Intraday Trading 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.
In observance of Good Friday, the TRACE system will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
I am disturbed and appalled to hear that FINRA is planning to prohibit my ability to invest in leveraged and inverse funds. I adamantly oppose to any regulator deciding how I should invest! I am angered by this arrogant and tyrannical effort to restrict how a consumer should invest his/her money. This is a clear and coordinated attack on the retail consumer to place the wealthy at a clear
My name is YuMing To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
My name is ShiouChin To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
To whom it may concern,
FINRA has proposed a raft of potential restrictions on so-called "complex" investment products, among them leveraged and inverse funds. Whereas some of the proposed restrictions are at least somewhat reasonable, like passing some sort of rudimentary test to ensure the investor is aware of what the product is, others are downright outrageous, such as not
To the fine folks at FINRA and the SEC -
Enough is enough. Over the years your efforts to protect investors from predatory industry practices have been nothing but stellar. But at some point in the last 20 years or so, you have jumped the proverbial shark. I have watched as the requirements for disclosure, for the tiny-print that extends to infinity (and beyond), all part of a steady yet woefully
