The nation's primary self-regulatory organizations for the securities industry - the Financial Industry Regulatory Authority (FINRA) and NYSE Regulation, Inc.- today announced an agreement with ten U.S. exchanges to strengthen investor protection by consolidating the surveillance, investigation and enforcement of insider trading in equity securities.
Please do not limit or restrict my rights to invest in public securities. Such investments should be available to all and not limited to those privileged by regulation. All investments have risk and transparency, information and education are preferred over regulations restricting or eliminating individual rights.
Of course it is important that investor have access to all the information and risks associated to an investment and the marketing of Investment vehicles must be strictly regulated to ensure that people are not incorrectly enticed into inappropriate investments. But the right to chose what investments are right for oneself is critical and must be protected.
INFORMATIONAL
OATS
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Order Audit Trail System
Executive Summary
NASD Regulation, Inc. (NASDR) is issuing this Notice to Members as part of
It’s easy to lose track of 401(k) accounts if you don’t take them with you. As the years go by, companies might be restructured, sold, or go out of business
Please do not limit access. There is already significant extra information provided before being able to invest, and these funds provide easy access to a more efficient use of capital for younger investors, providing a larger set of assets on which I will pay taxes in the future.
Please require weekly reporting. Please provide the reports to the public for free and transparent information through FINRA website and not just exchanges. Please conduct audits and other proactive enforcement measures.
When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
WASHINGTON—FINRA today released its 2020 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to focus on in the coming year.
New for this year is a focus on Regulation Best Interest (Reg BI) and Form CRS (Client Relationship Summary). In the first part of the year, FINRA will review firms’
The Neutral Corner—Volume 3, 2019
Mission Statement
FINRA’s Website Has a New Look
Arbitrator Withdrawals Undermine the Arbitration Process (by Steven B. Caruso)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
New Portal Form: Award Information Sheet
Removal of Oath of Arbitrator and Disclosure Checklist PDF from FINRA's Website
Register for the Portal Today
