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Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
Summary
FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms that are identical or substantially similar to listed options. FINRA is proposing to require firms to report this information to FINRA on a daily basis (end-of-day) for regulatory purposes only.
Questions regarding this Notice
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
Nasdaq Postpones SuperSoes Until Fourth Quarter 2000
The Nasdaq Stock Market, Inc. announced last month that the introduction of the Nasdaq National Market Execution System (SuperSoesSM) and modifications to SelectNet® have been postponed until the fourth quarter of 2000.
In response to industry feedback, Nasdaq® will postpone the SuperSoes launch and SelectNet modifications previously
The small firm community, those firms with 150 or fewer registered financial professionals, came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we're taking you behind the scenes of this year's event with an abridged look at the fireside chat with FINRA CEO Robert Cook and Executive Vice President Greg Ruppert.
Subject - Petition to FINRA opposing FINRAs proposal to restrict / stop trading in Leveraged ETFs / ETNs
I submit that the current controls of my broker when any investor invests in any leveraged ETFs / ETNs are adequate.
1. Every investor when trades in Leveraged ETFs / ETNs mandatorily signs the Designated Investments Agreement that clearly states the risk & the qualification
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
I submit that the current controls of the brokerage company when any investor invests in any leveraged ETFs / ETNs are adequate.
1. Every investor when trades in Leveraged ETFs / ETNs mandatorily signs the Designated Investments Agreement that clearly states the risk & the qualification
requirements.
2. Every time the investor places order of any Leverages ETFs / ETNs, the system
Dear Sirs: I am providing the following information in response to the possibility that FINRA is apparently in the process of promulgating restrictions that may cause severe harm to my ability to take advantage of the current system that allows investment in public securities and ETFs. As such, my ability to provide financial support to myself, my wife, and my immediate family may be destroyed