FINRA Rule 5123(a) requires firms that sell a private placement to file a copy of any offering document with FINRA within 15 calendar days of the first sale, subject to certain exemptions. FINRA Rule 5122(b)(2) requires firms that sell a private placement of unregistered securities issued by a member or a control entity to file a copy of any offering document
Currently, some ATS firm data is being displayed under multiple names, but for the same MPID. This is due to a mid-reporting period name change. FINRA is currently updating the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. When the fix has been implemented and the historical data has been updated, FINRA will issue another Technical
To the regulators: I'm extremely tired of gov't regulators who constantly interfere with every day citizens' freedom in every aspect of our lives. You, regulators and corrupt politicians in DC are so hungry of power and control over our daily lives. You constantly want to cram down rules and regulations on the everyday American citizens, and yet Congress, their congressional staff
Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
This is not the 1940s Papa, education, and information are very accessible. Connections are made faster and with more abundance than ever before. It is absolutely insane that I even have to write this when I can drive 30 minutes to a casino and gamble every dollar away. The hypocrisy is legendary and once again it's 2022 we can see through all the non-sense. If investments are the way every
I am entitled to my choice of investments, be they leveraged, inverse, or crypto. Those with opinions that I must be denied my right to freely invest in any investment that I choose must be removed from positions in the government. Such limitations of rights are typical of dictatorships, whereas this is supposed to be a free country, granting freedom of choice equally to all investors. Every
INFORMATIONAL
Best Execution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Best Execution
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Notice to reiterate the best execution obligations that apply to member firms when they receive, handle, route for
Dear FINRA Committee Members, Please do not impose trading restrictions on “Complex Products.” I am a retired public employee who has been investing for over 25 years, managing a ROTH account, 457 plan account, as well as a retail account. I sometimes use ETFs, including inverse and leveraged. They are an integral part of my investing toolbox. I am not a high net worth individual and desire to
Comments: To whom it may concern: I am writing to provide input concerning the issue of FINRA proposed rules to limit access to leveraged and inverse ETFs and "complex products". I use leveraged and inverse ETFs regularly as a hedge against market volatility. This has been a very valuable and successful tool for me. I fully understand that uneducated investors may use them incorrectly
"Protecting us from ourselves" -- i.e., barring us from choosing to take a on position of high risk and high reward -- has no place in America, especially in an area so obviously volatile as the equity markets. Existing regulations well protect us citizens from being duped. Adding regulations to try to protect us from financial losses is a patronizing fool's errand, which will only
