Comments: I believe that the foundation of a free market is the ability to choose the financial decisions that we as people make. While I understand that regulation is necessary to create a safe market environment with lower risk and less chance of inexperienced losses, there could be no possible way in which new regulations would be fair to all types of investors. A small percentage of investors
FINRA previously announced it will be modifying the Statistics data on the OTC Transparency Data website to enhance the amount of information that is available to its users.
These enhancements will now occur beginning on Monday, November 21, 2022.
If you have any questions, please contact FINRA Business Services.
INFORMATIONAL
Corporate Debt Securities
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Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training
Debt Securities Dissemination Operations Rule 6200 Series Transaction Reporting
Executive Summary
On January 31, 2003, the Securities and Exchange Commission (SEC or Commission) approved an
On Friday, April 28, 2017, Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in 271 OTC equity securities at 09:30:00 a.m. E.T. pursuant to FINRA Rule 6440(a)(3) (Extraordinary Event Halt). All impacted securities have been resumed as of 2:55:00 p.m. E.T. and systems are operating normally.
FINRA determined to impose the temporary halt because technical
Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA). The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization.
TO: All NASD Members
The SEC Release of December 18, 1984
On December 18, 1984, the Securities and Exchange Commission issued Release No. 34-21583; File No. S7-787, entitled "Designation of National Market System Securities." This Release confirms the decision taken by the Commission at an open meeting on November 16, to approve the following additional criteria for the voluntary
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Mutual Fund
Training
Executive Summary
The obligation of NASD® members under the Rules of Fair Practice with respect to mutual fund sales practices is a continuing concern of the NASD. The proliferation of new mutual funds and varied fee structures has significantly increased the options available for
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
