On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
You have made this notice complex. I only agree with giving the investor more information 2c. If you want to regulate something make Companies that issue a K-1 to shareholders be required to use a stock symbol ending in K.
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
My investments are my own choice. I interact with these investment options with a full knowledge of their potential risks. There is more than sufficient information available to the average investor to ensure full comprehension of these vehicles. Do not restrict this accessibility.
Regulators should not determine what risks or opportunities that I want to apply to my portfolio construction. Hands off the tools I use to hedge and diversify my portfolio. There is already plenty of literature and information on the risks associated on these investments.
PUBLIC INFORMATION ON SHORTING, DETAILED AND BROADCASTED TO THE PUBLIC DAILY!! I HAVE RIGHTS TO KNOW WHATS GOING ON WITH MONEY INVESTED AND SO DO 4.1 MILLION PEOPLE..
Overview – FINRA’s Funding Portal Rules (FP Rules) apply to firms that register with the U.S. Securities and Exchange Commission (SEC) as funding portals pursuant to the SEC’s Regulation Crowdfunding (Reg CF) and that become FINRA FP members. Prospective FPs should review, in addition to the rules under the SEC’s Reg CF, Regulatory Notice 16-06 (SEC Approval of FINRA Funding Portal Rules
As an investor, I would like to be able to choose the best investments for my personal situation. I have access to a financial planner and I am well informed of the risks in trading leveraged securities.
I am against any further regulation.
Connecting Individuals with Opportunities in the Financial Services IndustryThe Financial Industry Networking Directory (FIND)™ is a complementary FINRA subscription service designed to connect individuals who are enrolled to take the Security Industry Essentials® (SIE®) exam with firms that are recruiting for employment and internship opportunities.Subscribed firms can leverage the data found in
As a mostly outside observer who has be diving into the inner workings of the mechanics behind short selling, I've noticed that the lack of transparency effectively makes it impossible to determine the overall value of the short positions that exist, along with a lack of information about how many synthetic shares are created and how positions are opening and closing on a regular basis. This
