I'm just a regular guy living his life. I want to live in a country that isn't dominated by mega-rich Wall Street corporations. I am about to have my first child with my wife and I want them to grow up knowing that their economy is free and fair. I don't want their future to be stolen by people they'll never even meet. FINRA 21-19 is a long overdue change. It is clear that the
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
INFORMATIONAL
Erroneous Complaint Procedures
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Clearly Erroneous Complaint Procedures
NASD Rule 11890
Executive Summary
The purpose of this Notice is to reiterate the procedures for filing complaints under the National Association of
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
Why cut your own throats? At a time when the market is in need of support the most,you propose restrictions? It does infringe on Americans' choice to simply select their own industry.If these "complex" undertakings are incomprehensible to some, they will either learn---or be taken under. Those who work hardest under the free enterprise system will truly earn their
FINRA operates Monday through Friday during regular business hours, except as indicated below.2025 DateHolidayWednesday, January 1, 2025New Year’s DayFriday, January 17, 2025Friday before Martin Luther King, Jr. Day (1 p.m. early close)Monday, January 20, 2025Martin Luther King, Jr. DayFriday, February 14, 2025Friday before President's Day (1 p.m. early close)Monday, February 17,
Beginning Thursday, June 1, 2017, Luminex (MPID:LMNX) will become a Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF).
Please contact FINRA Business Services at (866) 953-4672 if you have questions about this notice.
To Whom It May Concern: The world of investments is like any other marketplace phenomena. Prices go up and down. It is a profit and loss system. I should be allowed to invest in any financial product I choose. If an investment is clearly not what it says it is, that is fraud. Fraudulent investments are not legal. Do not impose additional restrictions on the investing public. It does not promote
