Comments on Regulatory Notice 22-08 I am a self-directed retail user of investing products that is approaching retirement. I do not have a finance background per se, but I have a PhD in engineering with a career revolving around probabilistic risk assessment, and financial concepts translate well. I am not necessarily representative of the “typical” self-directed investor that the regulatory
SummaryFINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2
I would like to weigh-in on the regulations being considered by the Financial Industry Regulatory Authority (FINRA), to limit the availability of individual investors investing in leveraged and inverse funds, and other like investments without strict testing and special approvals by their broker.
Its my opinion that some brokers, who are part of FINRA are the reason that people like me seek other
Per your request for Regulatory Notice 21-19 regarding Short Positions, please find my comment below. The current requirements for short sale reporting, thorough as they may seem, are woefully inadequate in terms of depth, clarity and public transparency. I'd like to take the time to address what I see as issues that clearly and with immediate care must be addressed when considering short
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of July 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
CE.GB
Calif energy
9.875
6/30/03
HRRA.GA
Harrah's
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of February 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
HECH.GA
Hechinger Co.
9.450
11/15/12
GRDH.GA
Great
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of December 29, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SPRC.GA
Southern Pacific Rail Corp.
9.625
8/15/05
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of September 30, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Name
Symbol
Coupon
Maturity
PLTT.GA
Plitt Theatres Inc.
10.875
6/15/04
DMTR.GA
Domtar Inc.
11.
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report.
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement. During her time as Head of Enforcement, FINRA brought numerous significant disciplinary actions to protect investors and markets, including its largest-ever enforcement action; prioritized returning money to harmed
