Displaying 5581 - 5590 of 8993 Results
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that had an
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
The Department of Treasury (Treasury) asked the NASD® to remind its members about regulations issued by the Office of Foreign Assets Control (OFAC). These regulations require broker/dealers to block1 accounts and other assets of countries identified as threats to national security by the
Cryptocurrencies do not need regulation, as they are already transparently self regulated by the code that powers each blockchain. This code is publicly visible and transparent for all. They are also secure through cryptography, stronger than that which masks transactions and account information at traditional banks and brokerages. Furthermore, Bitcoin is the single best performing asset of the
The most fundamental ideology if the US Citizen experience is having the ability to have your own rags to riches story. It involves making your own way, picking yourself up by your bootstraps and a certain kind of grit. Really honestly what makes this any different than say a caste system? Modern day serfdom? Indentured servitude? I implore you to think long and hard about this. And I dont mean
Effective December 13, 2007, "Derivative-Related Transactions" are exempt from the TRACE reporting requirements.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective August 1, 1989, the requirement to report daily price and volume in non-
I have traded stocks for over 35 years and one of the most important rights we have as investors is the ability to make our own decisions on what specific investment vehicles we choose to buy and sell. Regulators should not limit this ability for individuals and should instead focus on finding those individuals or corporations abusing the system. Anyone that is investing should do their own due
I like having the ability to invest in leveraged funds. I do not want this option taken away, or limited by some gate-keeper that gets to decide what I do with my money.
These are calculated risks I take and provides me choices for high growth.
I understand that we're trying to protect uninformed people, but you can't solve this by showing people pages of text before they trade
Hello,
I have some concern regarding the FINRA regulatory Notice #22-08. Imposing such regulation on public traded securities is not only harmful but unprecedented. I think most of the retail market can agree that it is an investors right to freely access the entirety of the public securities markets
without arbitrary restrictions is a basic entitlement. Especially with the current state of the