To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options markets in numerous
Overview
This publication outlines emerging insider threat risks and helps member firms identify, prevent, detect, and respond to these threats, including:
identifying how insider threats can occur at firms, and what factors may indicate that these attacks are on the rise;
providing a summary of core controls and effective practices firms may consider when evaluating their insider threat
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 21, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 20, 2024 as the
Background
Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.
FINRA has
The following frequently asked questions provide information about the Central Registration Depository (CRD).
The FINRA rule is nothing more than an scheme to steal wealth, power, and autonomy from individuals. People have the intelligence and information necessary to make their own investments without regulatory tyranny. Stop it.
The only people that these restrictions would benefit would be wealthy individuals with inside information. The Pelosi's have enough money. Stop stacking the system against people like me. Oh, by the way ... I vote.
I am a user of the referenced types of funds. I think strong and simple warnings (perhaps enhanced, with some check-off from a user), at most, are adequate to support informed and free choices, and handle the concerns here.
I oppose this rule. This is just another way to protect Wall Street and suppress retail investors. Retail investors have more than enough FREE information and support to understand any investment strategy.
WASHINGTON – FINRA’s Board of Governors met on Sept. 24-26 at FINRA’s offices in New York, where it approved six rule proposals and received several operational updates from FINRA staff.
The Board continued its engagement with key stakeholders by meeting with two officials from the Securities and Exchange Commission (SEC): Pete Driscoll, Director of the SEC’s Office of Compliance Inspections and
