Displaying 511 - 520 of 28149 Results
Summary
On May 16, 2022, FINRA announced via Election Notice 05/16/22 upcoming elections to fill one Small Firm Governor seat and one Large Firm Governor seat on the FINRA Board of Governors (FINRA Board).
The Large Firm Governor nominee, Christopher W. Flint, has changed firm affiliations and no longer qualifies to run for reelection to the FINRA Board. FINRA’s Nominating & Governance
Summary
On November 8, 2021, FINRA will cease operation of the OTC Bulletin Board (OTCBB)—a FINRA-operated inter-dealer quotation system—and delete the OTCBB-related rules from the FINRA rulebook.
Questions regarding this Notice should be directed to:
Chris Stone, Vice President, Transparency Services (TS), at (202) 728-8457 or by email; and
Randy Rivera, Director, TS, at (212) 858-5119 or
(a) Each member or its agent that is a participant in a registered clearing agency, for purposes of clearing over-the-counter securities transactions, shall participate in fail reconfirmation and pricing services when offered.
(b)(1) A contract submitted to a reconfirmation and repricing service ("service") which has been DK'd ("Don't Know") by the
This session provides an overview of proposed financial and operational rules and the current rulemaking environment. Join panelists as they discuss current financial and operational risks and issues that firms address in their day-to-day responsibilities. Attendees also learn effective practices taken by compliance and risk professionals to monitor financial and operational risks.
Comment on #22-08 Regulatory Notice: Leveraged and inverse funds are an important component to insuring a portfolio - even for smaller retail investors such as myself. I would not want to lose ready access to these or have to work through others to acquire. Thank you Regards, glen fraser
(a) Authority of Adjudicator and FINRA Staff
For the purpose of an investigation, complaint, examination, or proceeding authorized by the FINRA By-Laws or rules, an Adjudicator or FINRA staff shall have the right to:
(1) require a member, person associated with a member, or any other person subject to FINRA's jurisdiction to provide information orally, in writing, or
Leveraged funds are no more dangerous than individual stocks. All they do is make slow-moving indexes move more like stocks. Brokers currently have plenty of notices about how this works and investing at our own risk. No changes are needed.
Do not impose net worth or testing requirements nor any restrictions as proposed in FINRA Regulatory Notice 22-08. These are ridiculous concepts of regulation that reveal FINRA's utter disregard for the individual investor's education and level of discernment. Discard these proposed regulations permanently.
FINRA has delayed the implementation of the bandwidth increase rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed. The bandwidth is scheduled to increase from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps).
The original date for this implementation was July 24, 2023. FINRA has also cancelled the June 10, 2023 User Acceptance Test. FINRA will issue new
I am a private investor and am writing this letter to express my concerns with the actions proposed in the FINRA regulatory notice 22-08. The actions described in the notice seem to fall under the premise that the government can chose the publicly traded investments that are best for me or worse, I have to jump through hoops to pass some sort of government test to invest in things such as