Background
Consistent with the transparency goals of FINRA360, FINRA, for the first time in 2018, published a statistical overview of the broker-dealer industry based on the data it collects in the course of its work. This report, called the FINRA Industry Snapshot 2018 , was the first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA
FINRA has updated its equities and fixed income transparency services participant agreement and has also created an amendment to the agreement.
Public GovernorFormer Director, SEC Division of Trading and MarketsGovernor Since 2025Committees: Executive Committee, Regulatory Policy CommitteeProfessional ExperiencePrincipal, Gaillard Group LLC (2022 – Present)Managing Director and General Counsel, Citadel Securities (2017 – 2022)Director, Division of Trading & Markets, U.S. Securities and Exchange Commission (SEC) (2014 – 2017)
G. A. REPPLE & COMPANY101 NORMANDY RD, CASSELBERRY, FL 32707G.DISTRIBUTORS, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.RESEARCH, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.W. SHERWOLD ASSOCIATES, INC22994 EL TORO ROAD, LAKE FOREST, CA 92630G1 EXECUTION SERVICES, LLC175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604GAGNON SECURITIES, LLC1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW
These comments are in regard to FINRA's Regulatory Notice 22-08 request for comments.
I am a non-professional, active investor who monitors and manages my personal portfolio every day. As such, it is important to allow active investors like myself to make their own determination of what products to use at what time to achieve their financial goals. Individual investors, not regulatory
Thank you for that kind introduction, Dean Johnson. I am afraid that the Road Ahead in Regulation may have changed in just the time we have been sitting here.
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 20, 1983
The National Association of Securities Dealers, Inc. (the "Association") is submitting for membership vote a proposed new section of the Rules of Fair Practice which, if adopted, would replace the current Interpretation of the Board of Governors — Review of Corporate Financing
I believe that inverse funds are necessary to effectively manage my portfolio. As an individual investor it can be very challenging to hedge against market volatility and large draw-downs in the market. Inside retirement accounts, I have very few tools to hedge my portfolio, shorting and options are generally not allowed. That leaves buying of inverse ETFs as one of the few options to provide
I'd like to share my comments concerning your contemplation of requiring certain restrictions, limitations and/or abolition of certain inverse, levered investment products. I have been using both of these types of products for years and feel they are important tools that individuals, like myself, can utilize to manage our financial assets in the stock markets. Both these tools, when
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
