FINRA Rule 5210 (Publication of Transactions and Quotations) prohibits member firms from publishing or circulating, or causing to be published or circulated, any communication which purports to report any transaction as a purchase or sale of any security unless such member believes that such transaction was a bona fide purchase or sale of such security. Firms may, on a discretionary basis, communicate or advertise their trading activity to the market through one or more service providers that disseminate that information to subscribers and the market. Firms that do so must ensure that such information is truthful, accurate and not misleading, consistent with the requirements of Rule 5210.
The responsibility for researching the investments that are right for any investor fall solely on that investor. While larger organisations and managed portfolio funds have extensive risk-management and analysis algorithms at their disposal, a self-directed individual investor has only the resources they choose to rely on. This is their choice to use as much or as little research as they deem
This is one more example of Americans potentially losing more of their rights to benefit financially in an attempt to convert our capitalist system to communism.
I am against this action to it's core. All American's should have the right to make public investments, not just the so called privileged.
Leveraged fund investments are important investments as they help to enhance
TO: All NASD Members and Other Interested Persons
ATTN: Training Directors and Registration Personnel
The purpose of this notice is twofold:
Part I announces the availability in mid-March of study outlines for a revised Series 7 General Securities Representative Qualification Examination. Pending SEC approval, it is expected that this new version of the test will be introduced at the June 1986
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement. During her time as Head of Enforcement, FINRA brought numerous significant disciplinary actions to protect investors and markets, including its largest-ever enforcement action; prioritized returning money to harmed
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Syndicate
Systems
Technology
Trading
Executive Summary
As the year 2000 approaches, organizations throughout the world are facing the formidable challenge of ensuring that their own computer systems, and other computer systems they depend upon, will continue to operate successfully
The Market Access Controls section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
FINRA Announces New Web-based System for the Collection of Short Interest Positions
SUGGESTED ROUTING*
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Schedule C of the By-Laws that establishes waiting
