Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
I find it very concerning that FINRA is proposing to interfere in my usage of leveraged or inverse funds and ETFs. My investment firm's websites already give me ample warning about my risks using these investments, and they do it every time I consider making such a purchase. So your heavily burdensome proposed requirements would only be an unnecessary intrusion into my process of
Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
Regulators should not be able to choose what public investments are right for investors. Its our money not yours. By doing so youre only taking care of special interest groups funding your campaigns and lining your pockets with perks for their personal gain, therefore crushing the very people trying to get ahead financially in life! Who do you work for, the people or the evil specialist interest
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
Proposed Rule Change to Update Certain Cross-References Within Certain FINRA Rules
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
I’m proud to announce that IDG's Computerworld has named FINRA No. 1 among midsize companies on its 2020 Best Places to Work in IT list. This is our ninth appearance on the annual list, but beyond being No. 1 in our category, this one is particularly special.
Here’s why.
The prevailing theme among the organizations that were recognized this year was a focus on career development and
