The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National
INFORMATIONAL
Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Consumer Information
SEC Regulation S-P
Executive Summary
In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
The Customer Order Handling: Best Execution and Order Routing Disclosures topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
I strongly oppose placing restrictions on what I as an informed investor can invest in. Although not the majority of my investments, leveraged funds are a cornerstone to my investment strategy. If the information is freely available, informative, and not deceptive, I do believe that FINRA should restrict access to what I can invest in. It should be up to the individual to determine the level
I cannot believe in the "greatest country in the world" we have to comment on whether transparency on the very thing that provides a backbone for the world economy is a good idea. ALL information regarding what occurs on our markets should be readily accessible by everyone. Having a select few entities control all of the information is the definition of an oligarchy in a world where
I should be able to spend, invest and allocate my own capital as I see fit without any interference from an outside regulatory authority. All investments are risky in nature and it is my responsibility to conduct my own research on each investment. There is enough information and regulations in place to protect me as investor to allow me to make an inform decision based on the public information
Investment fraud involving the use of artificial intelligence (AI) is on the rise. Increasingly, fraudsters are using generative AI (GenAI) tools to gain access to financial accounts and create new accounts in the names of unsuspecting investors. Learn steps you can take to help protect yourself.
Request for TRACE Reporting Exemption Under FINRA Rule 6732
I found out about the request for comment through https://www.leteveryoneinvest.com/ which in my opinion gives very misleading information about what FINRA is trying to do here. First, I think FINRA's enforcement of existing rules and regulations is extremely poor and that should be addressed before anything else. What's the point of adding additional suitability rules when the agency
