Displaying 711 - 720 of 28151 Results
I oppose any restrictions on my right to invest in public investments. I do not agree that any special process like passing a test to be able to invest in public securities and inverse leveraged funds. Making investors try and prove their ability to protect my investments puts a restriction on my ability to secure my entire portfolio of investments. I am NOT ALIGNED with this notice as it creates
Hello, I would encourage all involved to restrict regulation on these types of investments by stopping access. Use other tools. I've invested for 25yrs on my own and made money. I have also lost. I learned the most by losing and this experience motivates me to do research. Impose educational notices and let AI bots do the work. I will be able to secure financial options for
Summary
Effective February 27, 2023, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.90 per million dollars in transactions to a new rate of $8.00 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-
From Monday, February 6, 2023, through Friday, February 24, 2023, the FINRA Test Facility (NTF) for TRACE Securitized Products was modified to limit trade retention to five rolling business days.
During this time, the NTF Trade Management Window allowed users to search and view trades reported to TRACE within the past rolling five business days (T-5) instead of the standard rolling T-20 business
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, April 11, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
FINRA will be applying infrastructure upgrades to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, January 18, 2020, from approximately 10 a.m. to 1 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, March 14, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
(a) A claim by or against a member or an associated person who is inactive at the time the claim is filed is ineligible for arbitration under the Code unless the customer agrees in writing to arbitrate after the claim arises.
(b) If a member or an associated person becomes inactive during a pending arbitration, FINRA will notify the customer about the status change. Within 60