Truly, the less legislators try to micromanage my private investments and trades the better. Really it is a bit galling and insulting to constitutes that you assume we don't have the knowledge to write covered calls, or puts if needed to protect our investments. Please stop trying to help where it is not needed. Go work on cutting corporate welfare it needs reform.
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
Summary
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also encouraged to review its BCP to consider
I appreciate the independence to select appropriate investments for myself and my family. I have been a successful investor in these funds for a decade. Like everything in life, I imagine I could have faired better with some special, expensive training, but my returns from these investments alone will provide a year of private college for each of my two kids. Please let people make their own
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.Advertising Regulation Electronic Files (AREF)Annual ReportsBlue SheetsCustomer Margin Balance ReportingDerivatives and Other Off-Balance Sheet Items Schedule (OBS)Distribution ManagereFOCUSFINRA Contact SystemFINRA Firm Clearing Arrangements FilingFINRA Rule
(a) Data Transmission
Each Industry Member shall transmit data as required under the CAT NMS Plan to the Central Repository utilizing such format(s) as may be provided by the Plan Processor and approved by the Operating Committee.
(b) Connectivity
Each Industry Member shall connect to the Central Repository using a secure method(s), including but not limited to private line(s) and
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of FINRA’s 2024 fine monies.
SEC Approves New Supervision Rules
ATS NAMEATS IDFIRM NAME6732 ExemptionBGC FINANCIAL, L.P.BGCXBGC FINANCIAL, L.P. BONDSPROBNDSBONDS.COM LLC BrokerTecIEBCBROKERTEC AMERICAS LLC BROKERTEC AMERICAS LLCIEBDBROKERTEC AMERICAS LLC CBOE FIXED INCOME MARKETS, LLCCFIMCBOE FIXED INCOME MARKETS, LLC CLARITY BIDRATE ALTERNATIVE TRADING SYSTEMCLRTARBOR RESEARCH & TRADING, LLC
