I'm not understanding this notice clearly. But I do right kind of investment as available on US stock exchanges. Please do not confuse me with such restricted information and I oppose such regulations.
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South
Many individuals contact the Office of the Ombuds about fraudulent schemes. Some of the schemes are imposter scams that involve people fraudulently pretending to be FINRA staff in order to obtain account or other sensitive information.
(a) A member shall submit the trade data specified below in automated format as may be prescribed by FINRA from time to time. This information shall be supplied with respect to any transaction or transactions that are the subject of a request for information made by FINRA.
(b) If the transaction was a proprietary transaction effected or caused to be effected by the member for
Investors don't need unnecessary interference by big brother regulators in our investment choices. Requiring that clear information be provided is fine, but don't expect adults to go through testing or other restrictions.
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
“Chris’s contributions to
Rule Effective April 21, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registered Representatives
Systems
Trading
Executive Summary
In March 1998, the Securities and Exchange Commission (SEC) approved new National Associationof Securities Dealers, Inc. (NASD®) Rules 6950 through 6957 — the Order Audit Trail System (OATSSM
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The OTC Bulletin Board is scheduled to start June 1. The OTC Bulletin Board includes the first real-time display of firm and nonfirm quotation information on potentially more than 10,000 thinly traded securities
I support complete transparency. Please make all short positions public information to remove barriers that serve the 1%.
