Technology has long played a central role in financial services innovation. It continues to do so today as many firms in the securities industry introduce new digital investment advice tools to assist in developing and managing investment portfolios. FINRA undertook a review of selected digital investment advice tools to assess these developments.
The observations and practices in this report
FINRA Rule 5131 (New Issue Allocations and Distributions) addresses potential misconduct in the allocation and distribution of new issues.
A listing of general registration, membership, fingerprint processing, qualification examination fees.
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 28, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASGU.GA
Amerisourcebergen Corp
8.
Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
I wish that I could say how surprised I am that financial and/or governmental bodies are once again displaying bad behavior in terms of how they treat American retail investors, but Im not. The current practice of displaying a warning on risky financial instruments is QUITE sufficient. I can read, thank you VERY much. This has nothing to do with protecting individual investors from themselves and
Investors should be allowed to invest in all types of securities. Investors should not be discriminated against based on investment balance or net worth and should not have to pass a test to be eligible for certain investments. Brokers, such as Schwab, Fidelity, and Robinhood, and investment product providers, such as Proshares, all do a great job of informing investors of the risks associated
I am writing because I appose the pending regulations restricting who can invest in leveraged and inverse funds and I oppose limitations on your investments.
The new rules and regulations are very unfair. These new regulations will deny me the freedom to choose investments that could help you achieve long-term financial security.
The new regulations are arbitrary. FINRAs definition of
I am writing because I appose the pending regulations restricting who can invest in leveraged and inverse funds and I oppose limitations on your investments. The new rules and regulations are very unfair. These new regulations will deny me the freedom to choose investments that could help you achieve long-term financial security. The new regulations are arbitrary. FINRAs definition of complex
