Displaying 1011 - 1020 of 1859 Results
Hi, I am writing to ask you to NOT limit my ability to freely invest in any type of public securities. I'm an individual investor and I've been investing and trading securities of all kinds for the past 10 years. Im an active learner and constantly educate myself about opportunities and associated risks. I have paid-subscriptions to several investment advisors. I make informed decisions
It has come to my attention that many in government want to restrict the ability for the middle and lower classes to build wealth and ascend the financial ladder by destroying many investment vehicles.
This is apart of the greater plan set in motion by the great reset to massively redistribute wealth to favor the elite and severely disadvantage the other people in the world.
I understand that
I strongly support FINRA's mission to protect investors from ensuring an open, honest, and fair securities market, a key piece of which is striving to align investor needs and goals with product choice. It is probably or even likely that "complex" products are not appropriate for most investors, and to that end these products are broadly not used by most investors. Few defined
I M P O R T A N T
TO: All NASD Members
SUMMARY
The Securities and Exchange Commission has published for comment a proposed rule addressing the issue of exchange and over-the-counter market makers internalizing customer orders in Rule 19c-3 securities and whether inter market exposure of customer orders should be required. Internalization has been defined by the Commission as a dealer executing
To ensure a fair, balanced, inclusive market where everyone can invest with confidence, we require individuals and firms who wish to conduct business with the investing public to achieve and maintain certification as members of FINRA. FINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
WASHINGTON – FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms. The effort is a result of FINRA360, the organization’s ongoing
Summary
FINRA has amended its By-Laws to exempt from the Trading Activity Fee (TAF) any transaction by a proprietary trading firm that occurs on an exchange of which the proprietary trading firm is a member.
The amendment to FINRA’s TAF will take effect on November 6, 2023.
The amended text of the FINRA By-Laws is set forth in Attachment A.
Questions regarding this Notice should be directed
FINRA’s new account opening template is customizable so that firms can make the form their own.
FINRA announced that its Board of Governors approved a rulemaking item to help firms better protect seniors and other vulnerable adults from financial exploitation.