Proposed Rule Change Relating to the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities.
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1
You should be aware that certain types of conduct in the securities industry are prohibited.
Proposed Rule change to Amend the Discovery Guide and to Make
Other Conforming Changes to Rules in the Arbitration Codes
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2022; and
a summary of how eligible individuals can
Anyone who has looked at the derivates market for $AMC and $GME knows that short interest is being aritfically brought down by the use of these options strategies. If the short interest was really as low as being reported by FINRA and others, we would not have outrageous borrow rates and a continuing avalanche of FTD's. When will we have transparency in our financial markets? "Synthetic
Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
To Whom It May Concern: I am a self-directed individual investor writing to urge you in the strongest possible terms to avoid creating any new regulatory barriers to investing in leveraged or inverse funds. Your role in upholding basic investor protections is vital to the integrity of the market. While institutional investors can access a variety of financial instruments to take advantage of
Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
