Thank you, Kayte [Toczylowski, FINRA’s head of Member Relations and Education], and good morning, everyone. It is so wonderful to see you. I am delighted to join Kayte in welcoming you to the 2023 FINRA Annual Conference.
FINRA previously announced it will be modifying the Statistics data on the OTC Transparency Data website to enhance the amount of information that is available to its users.
These enhancements will now occur beginning on Monday, November 21, 2022.
If you have any questions, please contact FINRA Business Services.
This page provides electronic access to materials for registered attendees of the 2019 FINRA New York Region Member Forum. Materials are also available electronically via the conference app. Please check back regularly as we continue to add session materials; all materials will be posted by the start of the conference.
Session Materials
Thursday, December 12, 2019
9:00 a.m. – 9:05 a.m
FINRA Market Data Policies for TRACE data vendors/subscribers.
Hold media companies accountable for false reported information. Especially well known reporting agencies ( motley fool ) as an example & fine them with high fines not small ones
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
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.
Making sure a person is informed is one thing and you should be checking on that. Making a choice you enter these deals is on the investor and unless it's a scheme of some kind it's our choice where we put our cash.
To whom it may concern: Any and all enhancements concerning reporting on market activities is greatly appreciated. Shorter reporting intervals and all inclusive information is crucial to investor success.
