SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities Dealers, Inc,(NASD)
Hello, I'm sending this comment on behalf of the current situation of short sales being done within the stock market of AMC. As a new investor being affected by the current situation of the manipulation being held within the stock market, specifically AMC, it has been disheartening to see what's being done to the stock market. I've noticed throughout my time investing, I, along
In 2022, FINRA developed an enterprise-wide strategy to ensure preparation for an evolving crypto asset regulatory landscape with the creation of the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, which originally aired in August 2023, we learn more about the strategy and the role of the Hub.
(a) The Director will not serve any claim that is deficient. The reasons a claim may be deficient include the following:
(1) A Submission Agreement was not filed by each claimant;
(2) The Submission Agreement was not properly signed and dated;
(3) The Submission Agreement does not name all parties named in the claim;
(4) The claim does not specify the customer's city and state at the
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important that all
Leveraged funds are an important part of my investment strategy. Information on these funds and their risks are readily available to public investors. Restricting these funds to only a select few would be harmful to the general public.
Please allow me to object to your FINRA Reg. Notice #22-08.
Kindly inform me of the rationale you are using to justify a
restriction on the public's option to invest in leveraged and inverse funds.
I do not need a regulatory board telling me I am too poor or too under informed to take a risky financial investment. I should have equal rights to all other investors.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (1) amend FINRA Rules 6710 and 6750 to provide that FINRA will disseminate information on individual transactions in U.S. Treasury Securities that are On-the-Run Nominal Coupons reported to FINRA’s Trade Reporting and Compliance Engine (“
