FINRA is a private, not-for-profit membership organization that is responsible under federal law for supervising our member firms. FINRA regulates a critical part of the securities industry—member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of our work.
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
SEC Approves New Supervision Rules
The government including any person working for said government needs to stay out of our private or public trading decisions. Overstepping by making a test for low IQ people is not how you make people feel like they matter. I am the only one that can decide what I want to invest in.
Stop trying to control every person in the US.
Regulators should not be telling my what I can & cannot invest in.
I am a long term private investor in 401.3, SEP and general investing. I do not need to have my skills questioned. My history of investing has been positive almost always.
Leveraged and inverse funds investing in are my decisions to make without regulators telling me otherwise.
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.
(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
Year 2000 Update Reminder To Members About SEC Filing Requirements
The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63.
The new reports relate to each member's readiness and
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
Good afternoon and thank you for inviting me to spend some time with you discussing complex products. I'm sure you know that this has been a priority for FINRA examiners. I would like to share some of what we have learned so far.
