This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
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Executive Summary
On September 10,1997, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® Conduct Rule 2280, Investor Education and Protection, which requires certain NASD members to provide customers with the following
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Executive Summary
The Securities and Exchange Commission (
We (retail investors) simply need to know more information on short positions on all available platforms - free or premium services alike. The information should also be as accurate and as current as possible with little to no delays for the entire market to participate fairly. Thank you.
there is already more than enough information for individual investors to make informed decisions. we don't need more hurdles. most people understand the risks associated with most investments. if you don't know how to swim, don't get in the water. but, if you do and drown, there's no FINRA that can save you from your own stupidity.
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
Summary
FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services (DRS) arbitration forum. The amendments impose requirements on expungement requests (a) filed by an associated person during an investment-related, customer-initiated arbitration (customer
We, the retail investor, need current and up to date, daily information. We, the retail investor, require fairness and equality in making good decisions concerning the investments we choose. With current and up to date daily information, lets us make better financial decisions.
I use several brokerage providers. TD Ameritrade, M1 finance, and Robinhood all already provide bold warnings and specific information to guide/educate investors regarding Triple Leveraged or Inverse ETFs.
Brokerages have already/currently provide the critical information for retail investors to make effective trading decisions with these investment vehicles.
I strongly opposed limiting retail
