The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST
Ive already accepted the risk if using leveraged ETFs, please dont take away these options for how I invest my private money
Please do not take away my ability to use leveraged pro shares instruments. I use these occasionally in my overall investment strategy.
Do not take away my ability to use leveraged pro shares products. I do use this products from time to time in my overall investment strategy.
Compliance Outreach Program for Municipal Advisors
Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
Location
Capital Hilton
1001 16th St. NW
Washington, DC 20036
Recordings of sessions are now available. View the recorded sessions from the 2019 FINRA
Pursuant to a Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for OTC trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF) and FINRA’s Alternative Display Facility (ADF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files (collectively, the
FINRA is reviewing how firms identify and manage conflicts of interest. As part of this review, we would like to meet with executive business and compliance staff of your firm to discuss the firm’s approach to conflict identification and mitigation.
