(a)(1) Unless otherwise permitted by FINRA, a member shall not enter into an agreement for the carrying, on an omnibus or fully disclosed basis, of any customer account in which securities transactions can be effected ("customer account" or "account"), unless such agreement is with a carrying firm that is a FINRA member. An introducing firm that acts as an intermediary for
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
An amendment to the chairperson eligibility requirements of the Code of Arbitration Procedure for Customer Disputes and Industry Disputes that removes the alternative "substantially equivalent training or experience" criterion is effective September 22, 2008.
There are lots of rules. Few are enforced. There are lots of fines, but none that actually deter illegal market practices. Enforce and fine accordingly with imprisonment and insolvency. No more illegal manipulation thru dark pools, no more illegal shorts and fraudulent shares, no more hiding short positions, no more kicking ftds down the road.
Hello I want to suggest a new rule with all financial operations of any kind by any broker is instantly reported, it's 2021 after all - and that all these operations were transparent and public via your websites - with multiple layers of depth so that "new" retail investors like myself could understand the basics easily - and that it would be multiple levels of depth for the more
We retail investors dont want more propaganda shoved down out throats. We know the risks the problem is institutional investors [REDACTED]. Quit trying to take out the little investor and if you really wanna help remove the day trading rule. [REDACTED] LEAVE RETAIL TRADERS ALONE!!!!!!!
The provisions of Rule 2220 shall be applicable to communications to customers regarding index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule and the term "The Options Clearing Corporation" shall be deemed to mean the issuer of such warrants.
Amended by
FINRA, its employees, and any mediator named to mediate a matter under the Code shall not be liable for any act or omission in connection with a mediation administered under the Code.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 14107 by SR-NASD-2006-109 eff. Dec. 24, 2007.
Renumbered from Rule 10408 and amended by SR-NASD-2007-022 eff. April 16,
Transparency in the market! Frequent monitoring of naked shorting especially from Citadel who is a Market Maker and Hedge fund which is a conflict of interest. START ENFORCING RULES! MAYBE SEC SHOULD DO THEIR JOBS AND STOP WITH THE PETTY FINES! HOW ABOUT SOME JAIL TIME!! We are looking for a freedom market.
When it’s more profitable to break the law there will never be the change that is needed in the markets. Making 100 million dollars illegally and it only costs 25 million in fines equals a profitable business model. Why would they EVER follow rules??? The system is broken, rigged and allows outright theft, fraud and manipulation.
