(a) No member or person associated with a member shall, directly or indirectly, effect any transaction or publish a quotation, a priced bid and/or offer, an unpriced indication of interest (including "bid wanted" and "offer wanted" and name only indications), or a bid or offer accompanied by a modifier to reflect unsolicited customer interest, in any security as to which a
(a) Recusal, Withdrawal of Hearing Officer
If at any time a Hearing Officer determines that he or she has a conflict of interest or bias or circumstances otherwise exist where his or her fairness might reasonably be questioned, the Hearing Officer shall notify the Chief Hearing Officer and the Chief Hearing Officer shall issue and serve on the Parties a notice stating that the Hearing
(a) A party responding to a third party claim must serve all other parties with the following documents within 45 days of receipt of the third party claim:
(1) Signed and dated Submission Agreement; and
(2) An answer specifying the relevant facts and available defenses to the third party claim.
The respondent may include any additional documents supporting the answer to the third
FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis.The trading information is derived directly from OTC trades
Every day at FINRA, we protect investors from misconduct, stop fraud and provide restitution to harmed customers. And we are successful—in part because customers and other members of the public provide information and crucial evidence during the course of an investigation.
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FINRA may grant waivers, in exceptional cases, or exemptions for
To whom it may concern, FINRA's current effort to seek restrictions around "Complex Products" appears to fall into the category of "fixing something that isn't broken." This is something the government often appears to excel in and in this instance reads as a rather arbitrary and capricious effort to restrict access to investment choices. As a rule, I vehemently
I could go into a long monologue about why this is wholly unnecessary, and un-American, but I'm a very busy man, a business owner and former Series 7, 6, and 66 SEC license holder, so I know I qualify to invest in this stuff and probably will regardless of whatever ridiculous rules you grifters dream up. I also have been doing business and investing stuff long enough to know that you corrupt
To whom it may concern:
As both a financial advisor and individual investor, I am concerned that rules proposed by FINRA will limit my access to financial tools that are important to my portfolio and investing strategies. This includes leveraged and inverse funds that I use to increase my exposure and potential for gains without risking additional capital. These products are important tools that
There should be zero limitations on investment. FINRA should roll back the draconian private company investment rules and leave the public markets alone. Inevitably these regulations will discourage investment. Options are not always a gambling vehicle, they are used as a hedge by investors and you know this. Specifying an income or net worth is asinine. Leave the markets alone. Every person
