This idea of regulation is only to block the average citizen from becoming financially secure. For whatever reason our so called democratic government is striving to keep the common citizen from attaining wealth. This is a classic case of creating a Cass system. Shame on our government for trying to keep the majority poor, when there is more than enough to go around. In keep the majority poor the
Sarah Wallis is Senior Vice President of Regulatory Operations (RegOps) Program Delivery. In this role, she supports FINRA’s efforts to continue strengthening and integrating its regulatory operations. To that end, Ms. Wallis oversees initiatives that advance an integrated operating model for RegOps and establish the standards, best practices, and infrastructure required to drive consistent
Unless otherwise provided in the decision issued under Rule 9349 or Rule 9351, a sanction (other than a bar, an expulsion, or a permanent cease and desist order) specified in a decision constituting final disciplinary action of FINRA for purposes of SEA Rule 19d-1(c)(1) shall become effective on a date to be determined by FINRA staff. A bar or a permanent cease and desist order shall become
(a) When and How Transactions are Reported(1) OTC Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the OTC Reporting Facility, or if the OTC Reporting Facility is unavailable due to system or transmission failure, by telephone to the Operations Department, last sale reports of transactions in OTC Equity Securities executed
Hi, Please leave the current platforms intact. Many investors have adjusted their portfolios to trade and invest in this setup. Changing this will cause major harm to investors. Obviously there is a lack of transparency when leverage products were allowed to manipulate the markets but now it is a mature market and public is very well aware of these products. Please do not change anything but
/**/
Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 17a-3 Records to be made by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
TO: NASD Members and NASDAQ Issuers
On January 1, 1985, an order from the State of Georgia became effective which exempts NASDAQ National Market System securities from registration or qualification for sale under Georgia blue sky laws. This action grants NASDAQ National Market System securities parity with securities listed on the New York and American Stock Exchanges. In addition, for NASDAQ
Currently, there are display issues with the OTC Transparency Data on the otctransparency.finra.org website for the weeks of March 23 and March 30, 2020. NMS Tier 1 data is being displayed on the NMS Tier 2 and OTCE tabs for both ATS and Non-ATS data sets.
Please note, all downloads and APIs are accurate for the weeks of March 23 and March 30, 2020.
FINRA is currently investigating the issue
Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
I have lost faith in the “fair and free market” these past few years have opened my eyes to see the cards are stacked against the average American. Huge funds are market makers which have them looking out for their own best interest. If they do get penalized the fines are nothing compared to the money they make cheating the system. I want transparency and just penalties for those who break the
