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
Proposed Rule Change to Adopt FINRA Rule 3270 (Outside Business Activities of Registered Persons) in the Consolidated FINRA Rulebook
I would like to express my SUPPORT for additional regulation of trading leveraged and inverse funds. I use leveraged ETFs quite heavily in my own financial planning, and I don't see any reason not to require investors to pass a simple test to use these products. They are a great tool for hedging, but they can be very riskyand I believe some measures should be taken to make sure that they
NTM 06-60 is superseded by NTM 06-72GUIDANCE
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I am a retail investor and use leveraged ETFs for a portion of my portfolio. Before buying these leveraged ETFs, I did a significant amount of research to understand the risks. This included back testing how the funds would behave in different market and monetary conditions. I also read the prospectuses for the funds. All this information was available and provided sufficient information on the
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 1011(p) (“specified risk event”), to correct an inadvertent drafting error and clarify the “final regulatory actions” that are included in the “specified risk event” definition for purposes of the Rule 1000 Series (Member
1. Who is eligible to use the CRCP designation?
Only individuals who have successfully completed the FINRA Institute Certified Regulatory and Compliance Professional (CRCP)® program and who are in good standing may use the CRCP® designation. To be in good standing, a CRCP graduate is required to complete 12 hours of continuing education (CE) every three years.
CRCP designees who do not remain
Both firms and individuals must be registered with FINRA to conduct securities business with the investing public. Firms must meet certain criteria to attain membership with FINRA, and register with the U.S. Securities and Exchange Commission (SEC), other self-regulatory organizations (SROs) and state regulators. To become registered as representative and/or principal, associated persons
I strongly agree with proposed changes. We all want a fair market but it seems that big financial institutions and regulatory institutions are failing to provide that. First shorts should been reported daily. No dark pools since most of volume is trade there, and is not reflected on regular market. Fines should be increased to same amount that you obtained through illegal practices, because right
INFORMATIONAL
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Executive Summary
NASD Dispute Resolution, Inc. (NASD DR) recently established Orlando as the third hearing location within the State of Florida. Boca Raton and Tampa will continue as hearing locations in Florida.
The
