Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to September 1, 2021 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
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As of June 27, 1995, the following 57 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,804:
Symbol
Company
Entry Date
SOES Execution Level
IBNJ
Independence Bancorp, Inc.
5/26/95
200
NINE
Number Nine Visual
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As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653:
Symbol
Company
Entry Date
SOESSM Execution Level
BUCK
Buckhead America Corporation
4/28/94
200
MLXR
MLX Corp.
4/28/94
200
ABCO
American Buildings Company
4/29/94
500
BRKB
Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Leveraged funds and ETF's are important tools to allow investors to gain market leverage at a manageable level of risk, compared to traditional methods of leverage, such as the use of margin. Investors who research and learn the appropriate use of leveraged funds are able to use them as a part of an overall portfolio and generate leverage without jeopardizing their entire net worth. In
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
December 5, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to provide an update on the CE transformation and CAT implementation.Speakers:Robert Cook, FINRA President and Chief Executive OfficerJoe McDonald, Senior Director, Testing and Continuing EducationPaul McKenny, Vice President, FINRA CAT
I believe I should have (and retain) the right to make my own investment decisions, including the freedom to invest in cryptocurrency funds such as BITO and others.
Investing in anything, including ANY security or index, has inherent risks. Using intelligent analysis, certain risks can offer excellent rewards - again, with ANY security.
I don't believe it is fair to market participants (
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Executive Summary
The Board of Governors, acting on the recommendation of a special Ad Hoc Committee, is clarifying the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to the investment advisory activities of registered representatives. This Notice describes those
