Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.
I think it's only fair that short positions are reported on the daily. We live in the information age and I don't see any reason for information to be delayed. This would make it fair for all players in the market. Thank you
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
I should have the right to invest my money where I so choose, and that should not be decided by an outside party. We all have access to the knowledge we need and can make informed decisions about what we want to invest in. Please do not take that away from us. We are informed.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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Executive Summary
On December 3, 1998, the
I believe that in this age of technology we live in, there is no reason the reports should not be daily. After all, do we not want a fair and transparent market. The sooner information can be attained, the sooner people can make informed decisions.
I very much oppose these proposed restrictions. Any and every stock issue carries risks inherent to the individual stock, and these are no different. It is up to the investor to educate and investigate the risk and determine whether it fits within their own risk profile. This is not for the regulatory industry to define, unless the information and prospectus is giving false and/or misleading
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
