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
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
/01 Responsibility of Personnel
Rule 435, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those
n the event a Vendor misses transmission of TRACE data and would like to request retransmission, please follow the steps outlined on this page. Note: Only existing vendors can request retransmission of TRACE data.
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
FINRA Dispute Resolution has received inquiries from lawyers who represent investors and those who represent investment advisers (IAs) which are not FINRA members about the availability of FINRA’s arbitration and mediation forum to resolve their disputes.
Summary
FINRA will conduct its Annual Meeting of firms on Friday, August 19, 2022, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect an individual to fill one small firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all eligible small firms be represented by proxy or in
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
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, July 4, 1983, in observance of Independence Day. "Regular-Way" transactions made on the business days preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way"
