Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies
WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
You have the benefit of the equivalent of insider trading information. Why should the public be restricted even more?
Question 1
Does FINRA Rule 3210 impose any requirement as to what specific information or data an employer member must review or monitor upon receiving duplicate copies of confirmations and statements, or the transactional data contained therein, with respect to an account subject to the rule?
Answer
No. FINRA Rule 3210 does not by its terms specify what specific information or data
Leverage has worked for me. Please stop taking good opportunities away from an informed investor
Please let investor select their own choice. Let investor know the product information and the included risks
Please let investor select their own choice. Let investor know the product information and the included risks
WHY IS IT OK FOR YOU TO GET INSIDER TRADING INFORMATION? NOT OK FOR US TO CHOSE OUR OWN INVESTMENTS?
proposals are punitive to the investor .If there is no fraud what is the use of the restrictions .Information about the risk is all what is needed .
