It's my money to lose. If I make a mistake and lose everything, too bad for me, I'll just retire later. My loss is somebody else's gain. This change doesn't benefit anybody except by granting financial service providers a monopoly on access.
There is no need to regulate Aggregate Stocks. I use Spiders to avoid paying for Mutual Fund Service fees. I want my Investment funds simply to track Market Index.
Please keep it to the decision of each individual investor whether to have the risk or not.
There is no need to regulate
Background
Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.
FINRA has
FINRA announced today the launch of its new Crypto and Blockchain Education Program, which is designed to provide FINRA member firms and their employees with educational resources focused on crypto assets and blockchain technology.
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
(a) To the fullest extent possible, parties should produce documents and make witnesses available to each other without the use of subpoenas.
(1) Arbitrators shall have the authority to issue subpoenas for the production of documents or the appearance of witnesses.
(2) Unless circumstances dictate the need for a subpoena, arbitrators shall not issue subpoenas to non-party FINRA members and/or
(a) To the fullest extent possible, parties should produce documents and make witnesses available to each other without the use of subpoenas.
(1) Arbitrators shall have the authority to issue subpoenas for the production of documents or the appearance of witnesses.
(2) Unless circumstances dictate the need for a subpoena, arbitrators shall not issue subpoenas to non-party FINRA members and/or
On Monday, May 5, 2014, FINRA introduced a new tool called the Dashboard that provides information about the status of offerings filed for review in the Public Offering System.
Shelly Bohlin, Senior Vice President, Data Management and Governance, guides FINRA’s enterprise-wide data strategy, which involves creating and implementing FINRA’s formal data governance program. Previously, Ms. Bohlin was President and Chief Operating Officer of FINRA CAT, LLC, which operates and maintains the Consolidated Audit Trail (CAT). Before leading FINRA CAT, Shelly served in
On This PageEFS InstructionsEFS VendorsEFS InstructionsBroker-dealer firms and funding portals can submit fingerprints electronically to Sterling Identity (Sterling), FINRA’s designated fingerprint provider, by following the steps below.1. Determine how your firm will submit fingerprintsThere are two options for electronic fingerprinting:Send individuals to a participating EFS vendor’s location.
