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As you may be aware, FINRA has already begun the rollout of FINRA Gateway—your new front door to FINRA. This new platform is intended to streamline compliance functionality. Throughout the development process, we are working with our users within the industry to add value to their interaction with
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@finra.eu” and “@finrarec.com”. Samples of both emails are provided in Appendices 1 and 2.
The domains of “finra.eu” and “finrarec.com” are not connected to FINRA, and member firms or their customers may receive similar phishing
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
I dont believe that investing should be limited to only high net worth customers. There is unlimited information available for everyday investors to learn about options. Public investments should available to all public investors not just segregated to those that are deemed eligible or wealthy , etc.
I would like to voice my concern over restricting leverage trading. They are vital to my retirement strategy. I can make great profits with less exposure and in a shorter time frame. The brokerages do an outstandin job of informing us of the risk and that they are for short term trading.
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
I want the ability to choose the public investments that are right for me and my family. I do not want to be limited or restricted from buying leveraged and inverse funds. I am a well informed investor, and it is not right to restrict my investment options and allow others to have full access.
The additional transparency and short interest reporting rules that FINRA is proposing are a welcome start. All short interest reporting should be made available to the public for 2 reasons. First, this information directly impacts all investors. Second, it is clear that there is no way possible for FINRA, SEC or any other regulator to police the markets. By making all reported short interest
Short interest should be live data. There is no excuse in this day and age for up to date information available at the touch of a button. The fact we have to wait 2 weeks for this and the information is already 2 weeks out of date just screams that there are underhanded things afoot. Large institutions and hedge funds have an unfair advantage over retailers as they have better access to more data
