The Anti-Money Laundering (AML) section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Technology Management topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
I simply want an open, free market for trade and investment. It is not, and entities such as the SEC and FINRA allow it to be in the favor of hedgefunds and investment firms with large amounts of capital. Everyone should have to trade the same way, on the open market, under the same terms. Same time for the act of sale to transact. Shorting companies shoud be heavily regulated and absolutely have
SSR is a solid rule especially for organic trading between bulls and bears. More often than not, when the SSR is triggered, it’s caused by a malicious entity aggressively shorting the stock. Obviously the annoying thing is that SSR doesn’t stop the shorting, it almost doesn’t affect its momentum. Big trading firms will use an aggressive short ladder attack to bypass SSR… Nothing is necessarily
-Enhanced Failure to Delivery, Failure to Settle, Market Buy Ins, Market Lock Ins and FINRA to Publicly report these in a timely manner in .csv format on their website. The only data currently available is "Failures to Deliver" which is only 1 of several metrics. Retail and others would greatly benefit from the transparency added by simply providing this additional information about
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT
TO: All NASD Members and Other Interested Persons
In Notice to Members 84-69, dated December 18, 1984, the NASD apprised the membership that the Comptroller of the Currency had issued notices concerning certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses
Data Definitions for Bond Market Sentiment. Data fieldDefinitionAll SecurtitiesData on All TRACE eligible securities reported on the day and disseminated.Customer BuyData calculated on all trades reported to TRACE and disseminated where the reporting firmindicates it bought from a customer who is not a FINRA member firm. Customer SellData calculated on all trades reported to
Regulators need to stop getting in the way of what they perceive as "risky" investments. With the internet age being in full swing, the general public is more informed than ever about investments. They can protect themselves about investment climates. It would be unfair to not let the general public being able to invest in the same instruments any other entity may be able to
I am an adult. I, not regulators, can decide what investments are right for me. No tests or proof of a "high net worth" are necessary to determine the appropriateness of where and how I invest my money. Why should only the wealthy have the freedom to invest their funds as desired? My success in investing in leveraged and inverse funds is important to my overall financial strategy, and
Hi, Please solve all the [REDACTED] regarding naked short sales, darkpools, FTD's, short ladder attacks, marketmakes and hedgefunds beeing owned by the same entities and so on. There needs to be proper punishment not just a slap on the wrist 12 years later with a fine that represents lunch money. The entirety of the US financial system is being dragged through the mud, the trust, reliability
