In order to achieve a true “ free market” system, retail traders must be provided with total transparency. There are seemingly endless ways for institutions and hedge funds to have the advantage, whether it be access to data, rule loopholes, or seemingly smoke and mirror processes. SSR is a total fabrication, as there are countless ways to achieve shorting while the ruling is in place. It is
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
On May 18, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that permits broker/dealers to use optical storage technology(OST) to comply with the records retention requirements of SEC Rules 17a-3 and 17a-4. The letter, which was issued by the SEC
No member shall make an offer to buy from or sell to any person any security at a stated price unless such member is prepared to purchase or sell, as the case may be, at such price and under such conditions as are stated at the time of such offer to buy or sell.
• • • Supplementary Material: --------------
.01 Firmness of Quotations. Members and persons
Distribution Manager is used by the lead manager or book runner of a firm-commitment initial public offering (IPO) or follow-on offering to report underwriting commitments and retentions on behalf of the syndicate.
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Continuing Education Planning
GUIDANCEPartial Customer Account TransfersEffective Date: September 13, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementAutomated Customer Account TransferService (ACATS)Rule 11870Executive SummaryOn July 14, 2004, the Securities and Exchange Commission (SEC) granted accelerated approval of amendments to Rule 11870 making the procedures for
RE: comments about Reg. Notice 22-08 Many of my friends prefer using financial professionals, I prefer self-directed platforms. As an individual on a self-directed platform, I've become much more aware and capable of managing the risks for products like leveraged ETFs. My 20+ year experience with these instruments is positive and they do what they advertise. Their beauty is in their
Regulatory Guidelines to assist infringing on the rights of individuals. The only Protection anyone needs is against expansive regulatory instruments marketed to Help, Leading to the restriction of services toward willing participants. Ie: FINRA No thanks
