Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
Beginning September 16, 2019, FINRA will introduce a new Vendor Management System that will allow TRACE Vendors to view their profile and agreement information, maintain their contacts and report their monthly TRACE usage.
All vendors will be required to submit their Vendor and/or Subscriber Usage information via the new Vendor Management System. Starting on October 1, 2019, FINRA will no longer
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 should provide daily updates on short interest and failure-to-delivers. If that isn't feasible, then at minimum a T+1 timeframe should be implemented. Rampant naked shorting along with a financial toolbox that favors large institutions goes against what a free market is all about. As a retail Investor, I do not have the same means or access to the types of information that larger
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.
Capital formation is the lifeblood of a thriving economy. It fuels business growth, innovation, and job creation. In the United States, however, an outdated and increasingly overreaching regulatory framework—specifically SEC Rule 15c2-11—has become a barrier rather than a bridge to economic vitality. Originally intended to protect investors from fraudulent or opaque over-the-counter (OTC)
For May 11, 2021, transactions disseminated in Ginnie Mae issued mortgage-backed securities traded in specified pool transactions (MBS transactions) do not reflect reference data element updates published by Ginnie Mae as of the end of the day on May 10, 2021. Consequently, the dissemination ID (RDID) used for MBS transactions in Ginnie Mae securities will reflect security reference data
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
Retail investors deserve proper and timely disclosure of information, the amount of Information that is misreported is incredibly misleading. Please do something about this broken system, institute changes that bring positive outlook to the future of the stock market, for all participants.
I would prefer to NOT have the proposed restrictions on investing in leveraged or inverse products. Also, the proposed steps to permit such purchases are too restrictive and add unnecessary burden to the process. Investors have access to all the information they need to make an informed decision, and they have the ability now to conduct additional research. Treat people like adults...
