I notice you are welcoming comments on regulatory notice 21-19 regarding short positions.In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen with
With the technology today and the money that's being made in the markets by all parties, except for retail traders who get the shaft when it comes to getting "free" trades. Even by the sanctioning bodies that are supposed to over watch all of it's "members" and the standards upon which they are held, are not doing their jobs. Not REQUIRING that all members to report
New Payments for Market Making Certification Requirement for FINRA Form 211
Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
As algorithmic trading strategies, including high frequency trading (HFT) strategies, have grown more widespread in U.S. securities markets, the potential for these strategies to adversely impact market and firm stability has likewise grown.
FINRA member firms that engage in algorithmic strategies are subject to SEC and FINRA rules governing their trading activities, including FINRA
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
(a) FINRA shall, in accordance with this section, collect fees that are designed to recover the costs to FINRA of the supervision and regulation of funding portal members, including the membership process and performing examinations, policy, rulemaking, interpretive and enforcement activities. FINRA shall periodically review funding portal fee revenues in conjunction with these costs to determine
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Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial
This data provides comprehensive information on Asset-Backed Securities. An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. Published for non-commerical use.
Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies. FINRA and its
Industry Governor (Investment Company Affiliate)General Counsel, J.P. MorganGovernor Since 2024Committee: Regulatory Policy CommitteeProfessional ExperienceGeneral Counsel, J.P. Morgan Chase Commercial & Investment Bank (2015 – Present)Partner, Skadden, Arps, Slate, Meagher & Flom LLP (2004 – 2009 and 2014 – 2015)Assistant Secretary for Financial Institutions, U.S. Department of
