I find it odd that FINRA would require individuals to possess a net worth of greater than 1.000.000 dollars or an income of over 200.000 a year in order to invest in leveraged ETFs. This effort blatantly furthers the financial disparity in the United States unequally allowing privileged individuals to create larger pools of wealth. No correlation exists between a persons competency and the size
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 15, 1987, the following 5 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,066:
Symbol*
Company
Location
CLHB
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@firms-finra.org” or “@firms-sipc.org”. Neither of these domains is connected to FINRA and firms should delete all emails originating from these domain names.
Every investor should have access to the following data(In real time whenever available) -Updates on short interest data -Settlement on transactions - Failure to deliver data -Synthetic short data (so called naked shorts) -13F filings for short positions Additionally the following practices should be either be made illegal or become significantly more regulated * Single side dark pool trading
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New Membership Application Form) and Form CMA (Continuing Membership Application Form) — required under Rule 1013 (New Member Application and Interview) and Rule 1017 (
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 20, 1986, 28 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,363. These 28 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
ATTN: Training Directors and Registration Personnel
The purpose of this notice is twofold:
Part I announces the availability in mid-March of study outlines for a revised Series 7 General Securities Representative Qualification Examination. Pending SEC approval, it is expected that this new version of the test will be introduced at the June 1986
Comment Period Expires August 1, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® requests member comment on proposed amendments to Section 2 of Schedule E to the NASD By-Laws to amend the exception from the qualified independent underwriter requirement for offerings of securities with a bona fide
Yes all these disclosures are ok and show improvement. But what we need is bigger fines and penalties for those who breaks the rules and manipulating the market, yes Hedged finds and Broker platforms such as Robinhood. You need to say it’s enough and you can’t keep doing wrong stuffs. All these little fines recently changes nothing, someone is at fault and guilty, some people deserve to go to
Hello, To whom it may concern, I request that with diligence and haste we implement blockchain technology to ensure a free market. In regards to voting on market practice and for t-0 trade transactions, a fundamental blockchain system would give us a streamlined and sufficient order flow to close the trading gap between market makers and retail. We are recklessly headed toward more financial
