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Executive Summary
Effective April 1, 1998, the Board of Governors (Board) of the Federal Reserve System (FED) adopted several amendments to Regulation (Reg) T, as well as Regs U and X. In addition, it is eliminating Reg G, which had applied to
As a retail investor and trader, I protest FINRA's consideration to either limit of remove the option of purchasing leveraged and inverse ETFs. This action limits opportunities for retail traders and investors to use these instruments for hedging purposes. Since this is my money at risk and not the general public's I feel I have the understanding and competency in choosing where
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
I am fully capable to make my own decisions regarding investments. Limiting public investments to a specific few people is directly contrary to the free market system. I am capable of educating myself and do not need a government agency creating a test to determine if I am ready. I do not need someone else to tell me what I am capable of, or if I understand the risks well enough to make good
Summary
FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110). Members may wish to consider
FINRA Dispute Resolution Services (DRS) does not require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearings).Frequently Asked QuestionsAre face masks required at in-person hearings?In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the
The Communications with the Public topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
I have been investing in the stock market for over the last 22 years. I do not want anymore government control over what or how I invest MY money. It is important that regulations are not created to reduce my ability to earn or lose money with investment products. I do not want to pay for services that I have already been successfully performing myself. Do not make the system anymore unfair to
In observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 23, 2023. Please be advised that the ORF system will close early on Friday, November 24, 2023 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
