FINRA Is Open

2021069330101 Morgan Stanley & Co., LLC CRD 8209 AWC lp (2024-1733358006194).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069330101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley & Co LLC (Respondent) Member Firm CRD No. 8209 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley & Co LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Information Notice 11/5/24

Summary

To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2025 or the first quarter of 2026. FINRA reminds members that all such filings they submit to FINRA must be made electronically through FINRA Gateway. 

Richard M Primavera Comment On Regulatory Notice 24-13

I believe there are investors who can realize profits from this trading model.

That said I have thought about simplifying the rules concerning any day trading.

I believe these investors should have skin in the game and as such must maintain a minimum equity of $100,000. in their margin account at all times.

And in the absence of time and tick evidence, I would cap the gross commitment on a given trading day to be no more than 3 times their equity.

The difference of any day trading gross greater than 3 times the margin account equity is a margin call. 

2023079724001 Arnold Frank Feldman CRD 4479606 AWC lp (2024-1733098800056).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079724001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arnold Frank Feldman (Respondent) Associated Person CRD No. 4479606 Pursuant to FINRA Rule 9216, Respondent Arnold Frank Feldman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-018

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 13606 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) to provide that the Director (“Director”) of FINRA Dispute Resolution Services (“DRS”) will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing, or who provide their position on the expungement request in writing.
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