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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
Assure information is provided so I can make a decision. I dont need you deciding for me and telling me what I can or cannot do and then tell me its for my safety; in doing so you are overstepping.
I'm an individual investor who trades leveraged products and options on an almost daily basis. Leveraged products and options have become the cornerstone of my investment strategy and provide the income stream I need to live on in my retirement. I've spent over 12 years as an active investor and have put the time and effort into learning how such products work using all the
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsTraining
Executive Summary
On April 7, 1994, the Securities and Exchange Commission (SEC) approved amendments to Municipal Securities Rulemaking Board (MSRB) Rule G-19 concerning suitability of recommendations. The amendments eliminate two provisions that had operated as exemptions to the rule and clarify the
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'm fine with the proposed regulations IF YOU ALSO make it illegal for politicians to trade on insider information.
Of course you won't do this, so leave the retail investor alone.
We have enough problem competing with political cheaters as it is.
If an investment product is available on the public market, anyone should be able to buy it. There are risks and rewards and they are the responsibility of the investor. The investor does not need special education, nor have above average means. Information on any of these products is freely available.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, UBS Securities and Deutsche Bank Securities a total of $425,000 - and ordered the firms to make payments to customers that could total $420,000 - in connection with the firms' failure to adequately supervise communications with their customers in the initial public offering (IPO) of Vonage, LLC in May 2006.
1. All short sales must be reported to FINRA by the end of each settlement day and made public by the beginning of the next settlement day. - FINRA must automatically pull the information by market close electronically (i.e. NO self-reporting) 2. All unused loaned shares must be reported to FINRA by end of settlement day and made public by the beginning of the next settlement day - FINRA must