What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members. Rules
I’ll keep it short (no pun intended) and simple: as a retail investor, all I am asking for is a fair, level playing field. Currently, we are not getting that. Please adjust and enforce the rules so all retail investors receive the same timely information and opportunity as the Hedge Funds. Thank you!
Now that the market is digital start transferring all information using blockchain formulas similar to or Ethereum. This is a circumvention of responsibility by either not reporting or misreporting. If you take away the report and make it instantaneously reported you could track it and it would instantly report itself. It would also protect itself.
Please introduce all of the key points stated in your statement. It is vital that retail investors have access to the same information and data as institutional investors. Especially when it comes to short interest data and number of failure to delivers which have a huge effect on share price. Thank you.
In the interest of transparency and fairness to the market. I believe it is important to have regular and accurate information keeping and disclosure to encourage retail market participants into the market. Professional firms already have fast, accurate and bespoke trading software and information systems that provide them with a massive advantage in accurately determining price inefficiencies
Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
Executive SummaryThe 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 following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 21, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 20,
LockBit, one of the most deployed ransomware variants in recent years, continues to impact organizations across the globe, including FINRA member firms. Since November of 2023, FINRA has received reports from several member firms related to cyber incidents allegedly perpetrated by LockBit. The reported incidents varied in severity from no impact to significant disruptions in firms’ business operations. As a result, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision Program is notifying firms of the increased activity of this threat actor to heighten awareness and visibility of this risk. CAU is also providing a compilation of resources that outline effective practices firms may consider in response to this elevated risk.
IMPORTANT
TO: All NASD Members and Other Interested Persons
ATTN: Compliance and Sales Management Personnel
The NASD has noted that an increasing number of applications for registration have been found to be inaccurate or incomplete when compared with the applicant's disciplinary history contained in the Central Registration Depository (CRD) data base. Examples of inaccurate filings include
