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.
At a minimum we should have transparency in the market to see the same information hedge funds and market makers see also to see short positions that effect market prices
Its extremely hurtful that FINRA regulators are taking away my ability and freedom to invest in complex funds . Most of the middle class whose daily struggle is to save money and take informed help is being taken away by this step
These products are useful to a informed trader. Removing these would be like dictating what people can invest in. What's next, all stocks under 5 dollars or 1 dollar. It is our right to make these choices. Don't take my rights away.
For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
Regulatory ObligationsSEA Rule 15c3-3 (Customer Protection Rule) imposes requirements on firms that are designed to protect customer funds and securities. Firms are obligated to maintain custody of customers’ fully paid and excess margin securities and safeguard customer funds. Firms satisfy these requirements by keeping customer funds in a special reserve bank account and by maintaining customer
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Executive Summary
On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711,
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the District 2 seats on the West Region Committee are the only contested seats. Therefore, only firms that are members of FINRA in District 2 as of the close of business on Monday,
I 100% support broader and more detailed reporting on short sales. This information would lead to a fairer market through transparency and allow all parties to better understand the marketplace.
The Neutral Corner, Volume 6—2008
