To whom it may concern, How dare you [REDACTED] sit there and try to make us, the consumer, have even less choices to decide what we do with our money and investment plans? We should be the one that makes the choices not you. Your job is to make whatever company signed up with you follows rules to protect the consumer, but this doesnt protect the consumer from the company, but rather is trying to
FINRA Regulators, as a self employed professional engineer who also sits on the Snyder County Planning Commission for the last 10 years, issues of regulatory affairs are common to me. And as a person who manages 2/3 of my retirement portfolio, having inverse tools to help protect against market downturns is vital to me. This is the second time within 10 years that an appeal has been made to keep
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
Summary
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
The Securities and Exchange Commission (SEC) has approved changes to Rule 17a-5. This rule authorizes the designated examining authority (DEA) to grant or deny requests from broker/dealers for extensions of time to file their FOCUS and audited annual financial reports. Also, these
As previously announced beginning Monday, September 9, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved a new Part XII to Schedule C of the NASD By-Laws prescribing requirements for the
SUGGESTED ROUTING
Senior Management
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Operations
Research
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
Market Regulation Compliance Report Cards
On September 24, 1998, staff of the Market Regulation Department (Market Regulation) of NASD Regulation began making available quantitative reports for each NASD member firm concerning its compliance with trade reporting, firm quote, and best execution. The reports are being provided to firms as a compliance aid to assist them in ensuring that they are
Katie Kuehns partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Ms. Kuehns joined FINRA in 2007 and has served in a range of roles responsible for various aspects of Human Resources including Business Partnering, HR Strategy and Total Rewards.Ms.
