I should be the one, not regulators, to choose public investments that at correct for my portfolio. No special process should not be required, and certainly not test performed to determine my ability to invest in public securities. Leveraged and inverse funds are very important to my investment strategies in hedging, enhanced returns, and as a limited part of my portfolio. I dont need someone
Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review conducted by FINRA on the emergence of RegTech tools within the securities industry and
Summary
FINRA will conduct its Annual Meeting of firms on Wednesday, September 6, 2023, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all eligible firms be represented
Remarks From the LIMRA/LOMA 2015 Regulatory Compliance Exchange
As of May 12, 2025ATS NameATS IDFirm NameCommentABE ATSABEX303 ALTERNATIVES LLC AlphaX US ALPXTSX Alpha U.S., Inc. AMERICAN LEDGER ATSCSTNAMERICAN LEDGER ATSCeased on July 31, 2021APOGEEAPOGCITADEL SECURITIES LLCCeased on April 2, 2015AQUAAQUAAQUA SECURITIES L.P.Ceased on September 16, 2022AX TRADING, LLCAXTNAX TRADING, LLCCeased on April 30, 2021BARCLAYS
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.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their
NASD Regulation, Inc., has filed with the SEC the examination specifications and study outline for the Limited Representative-Private Securities Offerings (Series 82) examination program. The Series 82 examination program is proposed in connection with a proposed change to NASD Rule 1032 to implement Section 203 of the Gramm-Leach-Bliley Act of 1999 ("GLBA"), which requires the NASD, as
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
Exchange Act Sections 3(a)(10), (12), (29) and (42)
FINRA Rules 0150, 2010, 2241, 2242, 2320, 4370, 5240, 5250, 5270, 5280, 5310, 5320, 6420 and 6710
NASD Rules 1021, 1022, 1031, 1032 and 1050
SEA Regulation NMS
I strongly oppose the proposed restrictions on these securities products. Primarily, I am able to evaluate, analyze and decide for MYSELF when and if these securities are appropriate for me. I possess, as do, I would presume, the overwhelming majority of inventors, the skills, knowledge, experience and discretion needed to decide whether or not to use them. These are important hedging tools,
