It is my opinion the markets should be as transparent and fair across all avenues. The lack of transparency and information tilts the scale away from the retail investor and in turn causes distrust towards further involvement. Short information should be required to be disclosed to accurately guage the status and balance of a trade, and to rule out any potential foul play or bad actors.
ACTION REQUIRED
Electronic Filing Requirements
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Legal & Compliance
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Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the New York Region as of the close of business on Friday, October 21, 2022, are eligible to vote in these elections.
Ballots are due by Wednesday
November 2022
Background
In August 2021, FINRA launched a targeted exam (sweep) to review firms’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence. FINRA’s review focuses on a cross-section of retail and diversified firms that offer options trading to their customers.
Below FINRA poses several
Background
A critical part of the registration process in the securities industry is the background investigation of applicants for registration and the timely and accurate reporting of information to the Central Registration Depository (CRD) system via the Form U4 (Uniform Application for Securities Industry Registration or Transfer).
When a firm wants to hire a registered representative, it
I am retired. I have been saving/investing consistently over the greater portion of my life. I have "various saving/investing buckets" of diversified monies/funds... conservative, moderate, aggressive, et al. My savings/investments are calculated/weighted with consideration to both the upside and downside potentials over a "longer-term-rather-than-shorter-term"
Regulators submit Form U6 filings to report disclosure events and disciplinary actions against individuals and organizations. FINRA also uses the form to report final arbitration awards against broker-dealers and associated persons.
Firms have an obligation to report U6 information on the appropriate registration form filing.
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Comments: Please continue to allow me access to these products such as inverse EFT's. The companies providing them have given adequate information, and I further can look up information if needed. I understand they have additional risk, however I would like to take that risk for myself and should have to right to do so. Having these products to chose from helps me to balance my portfolio to
I personally (not Bloomberg, LP nor any of its affiliates) believe that this is a good thing. Anyone that has searched for 605 reports needs to traverse a series of websites to find this information. In addition can you please have the broker/dealers add a header row, or at least an off file guide to reading the data. A crib sheet is also needed to understand how to look at this information -
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Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
