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TO: All NASD Members
There appears to be a growing practice among member firms to offer their retail customers a service whereby debit balances created by the purchase of securities in the customer's cash account with the member will be automatically satisfied by the redemption of shares of a money market fund. This practice is distinguishable from what have been called "account
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
So I can buy ridiculous options, yet I cant inverse through a diversified fund? This is ridiculous, and only gives institutions more leverage. Timing is interesting as well considering weve been in such a long bull run, now that the markets are volatile we get this notice!?
The proposals exceed the authority of SEC as watchdog and while perhaps intending to protect the rights of investors against risks of loss, or their own capacity or qualifications to invest actually result in immunizing the sellers from liability. The proper way to go would be notice and warnings as assumptions of risks.
You might have noticed some market volatility over the last couple of decades. There is no better way for small investors to protect themselves than with leveraged and inverse funds. Please resist the urge to pass legislation that is unlikely to accomplish whatever objectives are being touted.
Dear regulators, it is very important for me to have the freedom to use inverse and/or leveraged ETF's in real time and on a minutes notice, as part of my IRA account strategies. Without it, my retirement would be in jeopardy. I strongly oppose the proposed rule. Thank you.
FINRA may, upon notice, terminate FINRA/NYSE Trade Reporting Facility service in the event that a Trade Reporting Facility Participant fails to qualify under specified standards of eligibility or fails to pay promptly for services rendered.
Renumbered from Rule 6370C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
The Outside Business Activities and Private Securities Transactions section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (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.
(a) Conditions Permitting "Sell-Out"
Upon failure of the buyer to accept delivery in accordance with the terms of the contract, and lacking a properly executed Uniform Reclamation Form or the equivalent depository generated advice for depository eligible securities meeting the requirements prescribed in Rule 11710(b), the seller may, without notice, "sell-out" in the