SEC Approves Consolidated Front Running Rule
Hi there,
I am writing in severe opposition to Regulatory Notice #22-08 which explores the possibility of a number of limitations and regulations on the common investor. This regulation is absurd and I am completely against it!
First, it is my right as a citizen of this country to invest my money as I wish. Only I can determine what is and isn't best for myself and my family financially
It does not make any sense to create legislation to make investing more exclusive, especially if it rules out the very people you espouse to "protect". The last thing we the people want from FINRA is to make investing yet more of an exclusive club for the elites. It is honestly disgusting that you are pursuing legislation in this domain given the glaring issues which have come
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
I could go into a long monologue about why this is wholly unnecessary, and un-American, but I'm a very busy man, a business owner and former Series 7, 6, and 66 SEC license holder, so I know I qualify to invest in this stuff and probably will regardless of whatever ridiculous rules you grifters dream up. I also have been doing business and investing stuff long enough to know that you corrupt
For May 11, 2021, transactions disseminated in Ginnie Mae issued mortgage-backed securities traded in specified pool transactions (MBS transactions) do not reflect reference data element updates published by Ginnie Mae as of the end of the day on May 10, 2021. Consequently, the dissemination ID (RDID) used for MBS transactions in Ginnie Mae securities will reflect security reference data
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EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved new Section 42 of Article III of the NASD Rules of Fair Practice. The section prohibits NASD members from effecting, directly or indirectly, over-the-counter transactions in a security in which a trading
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Senior Management
Legal & Compliance
Executive Summary
On October 14, 1998, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) relating to the selection of arbitrators.1 The arbitrator list selection rules and related amendments to the Code of Arbitration
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
The Outside Business Activities and Private Securities Transactions 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.
