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WASHINGTON and SYDNEY - The Australian Securities and Investments Commission (ASIC) and the Financial Industry Regulatory Authority (FINRA) entered into a Memorandum of Understanding (MOU) today to promote and support greater cooperation between the two regulators.
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The NASD® will observe the following holiday schedule for 1996:
January 1
New Year's Day
February 19
President's Day
April 5
Good Friday
May 27
Memorial Day
July 4
Independence Day
September 2
Labor Day
November 28
Thanksgiving Day
December 25
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Questions regarding
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org”. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.
The domain of “invest-finra.org” is not connected to FINRA and firms should delete all emails
Notice of FINRA Regional Committee Elections and Ballots
Cryptocurrencies do not need regulation, as they are already transparently self regulated by the code that powers each blockchain. This code is publicly visible and transparent for all. They are also secure through cryptography, stronger than that which masks transactions and account information at traditional banks and brokerages. Furthermore, Bitcoin is the single best performing asset of the
The most fundamental ideology if the US Citizen experience is having the ability to have your own rags to riches story. It involves making your own way, picking yourself up by your bootstraps and a certain kind of grit. Really honestly what makes this any different than say a caste system? Modern day serfdom? Indentured servitude? I implore you to think long and hard about this. And I dont mean
I have traded stocks for over 35 years and one of the most important rights we have as investors is the ability to make our own decisions on what specific investment vehicles we choose to buy and sell. Regulators should not limit this ability for individuals and should instead focus on finding those individuals or corporations abusing the system. Anyone that is investing should do their own due
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I like having the ability to invest in leveraged funds. I do not want this option taken away, or limited by some gate-keeper that gets to decide what I do with my money.
These are calculated risks I take and provides me choices for high growth.
I understand that we're trying to protect uninformed people, but you can't solve this by showing people pages of text before they trade
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.