Chairman Sarbanes, Senator Gramm, Members of the Committee, thank you for this opportunity to testify on the vital, troubling and timely issues of investor protection and accounting regulation revealed by the collapse of Enron.
It is in the best interest of all participants invested in the stock market to have potentially influential information when making important, calculated, and delicate financial decisions. With additions made to FINRA's short sale reporting program, specifically the procedures as instructed by Rule 4560, a gob of data can capture the eyes of all investors to help make better informed
The Regulatory Events Reporting section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 9231 to provide for the compensation of all panelists that serve in connection with a FINRA disciplinary hearing, regardless of whether it is an Extended or non-Extended Hearing.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that would require members to file retail communications concerning private placement offerings that are subject to those rules
INFORMATIONAL
Operations
Effective Date: September 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
ACATS Rules
Uniform Practice Code
Executive Summary
On September 12, 2001, the Securities and Exchange Commission (SEC)
Everything you are doing is against the constitution, you know it, you are not our rulers, you do not get to decide these things for us, we say no, we do not comply, we are done paying for your bribes, underground facilities, war operations, and everything else, government should be very small and for the people not you, stop immediately because I tell you right now, we will treat you like Disney
GUIDANCEDeletion of Obsolete RulesEffective Date: August 10, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementObsolete RulesRule 3400 SeriesExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of an amendment to delete as obsolete IM-2210-4(b) (Certification of Membership) and Rule
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
I should be able to choose public investments that I feel are right for me and my family, not some government agency. This in my opinion is a government over reach. It appears that every day the government tries to usurp American citizens rights and indoctrinate each and every American citizen. This is supposed to be a free country. Let's keep it that way. i'm truly tired of
