Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction (“OSJ”) and the classification of a location that
GUIDANCE
Business Expansions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Business Expansions
IM-1011-1
Material Change in Business
Operations
Rule 1017
Safe Harbor
Executive Summary
On August 7, 2006, the Securities and Exchange Commission
(SEC) approved amendments to Interpretative Material 1011-1
(Safe Harbor for Business Expansions) (IM
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2360 (Options) to increase the position and exercise limits for conventional options on certain exchange-traded funds (“ETFs”).
Fair Play. I don’t think a hedge fund should be involve in market maker ( conflict of interest) . Privilege to have first hand information. Short positions must be disclosed. Media should be regulated, they are not financial advisor. They can’t tell people what to buy or what to forget. And the most important. Laws and rules must be followed. Institutions must act accordingly , the employees of
I would like to See ALL Data daily regarding short positions. How is it that high frequency trading can be programmed to carry out millions upon millions of short transactions daily, but not able to simply submit data regarding those positions. They should be submitted daily along with darkpool positions. Transparency needs to become 100% as this will also help keep markets more honest because
Dear Sirs:
I invest via a systematic quarterly plan that utilizes leveraged ETFs. I know what I am doing. Correct use of these leveraged products is a key part of my financial plan.
Leveraged funds are important to me. They improve my performance over the long term. I am not engaged in reckless trading, I understand the effect of daily magnification of an indexs price movement, and benefit from
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2021.
Proposed New Rules Governing Communications About Variable Insurance Products; Comment Period Expired: September 30, 2008
INFORMATIONAL
Non-Conventional Investments
SUGGESTED ROUTING
KEY TOPICS
Legal/Compliance
Retail
Senior Management
Internal Audit
Advertising and Sales Literature
Due Diligence
Non-Conventional Investments
Suitability
Executive Summary
In the aftermath of the recent downturn in the equity markets, NASD reviewed the
