(a) Prohibited Communications
Unless on notice and opportunity for all Parties to participate, or to the extent required for the disposition of ex parte matters as authorized by the Rule 9000 Series:
(1) No Party, or counsel to or representative of a Party, or Interested FINRA Staff shall make or knowingly cause to be made an ex parte communication relevant to the merits of a
Effective July 1, 2025, Prospective CAT Cost Recovery Fee 2025-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and Prospective CAT Cost Recovery Fee 2025-2 will be in effect.
Staff Relocations
Over the next several months, some NASD Regulation, Inc. (NASD RegulationSM) and National Association of Securities Dealers, Inc. (NASD®) staff will be moving from Washington, D.C. to a new location in Rockville, Maryland. The move will be conducted in a staggered fashion beginning early July, with completion expected in the fall of this year. This relocation plan affects over
I strongly oppose FINRA Regulatory Notice #22-08 I am fully capable of deciding what investments are right for me. I do not need the government to impose more regulations and take away my RIGHT to invest as I see fit.
Leveraged funds are an integral part of my investment plan, especially in a down market as we have had recently. I urge you to not pass these new requirements. We need LESS, not
I believe that I - and not regulators with potential agendas should have the right to choose the public investments right for me -- and these shouldn't be restricted to just the privileged. I shouldn't need to go through any special process or testing before I can invest in public securities (such as leveraged and inverse funds) since I'm quite capable of understanding the risks
If you are assigned to a case as a Category B or C arbitrator, and must travel 75 miles or more to a hearing for an assigned case, we recommend that you use FINRA’s travel desk, ADTRAV, to book travel.Benefits of Using ADTRAVADTRAV will book airfare, rail tickets, and hotel stays that are compliant with FINRA’s travel policy. ADTRAV bills FINRA directly, so arbitrators will no longer need to pay
Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
Dear Regulators,
To an ordinary investor like myself, one of the biggest advantages in investing this market is the freedom to invest whatever I see as opportunities, and versatility of products I can choose from to realize my investment strategy despite my budget and net worth. I personally believe restrictions you are planning to enforce on ordinary investors will greatly damage this freedom,
I vehemently oppose restrictions on how I choose to invest my money in public investment of any kind. I am not a child and it's not your role to treat me like one. I shouldn't have to prove anything to anybody regarding the funds I desire to invest in. I know how to plan my investments. Whether they produce the results I desire is NOT your problem. It is mine. I'm
