Displaying 1811 - 1820 of 4654 Results
Hello, I wholeheartedly support FINRA's step toward a vastly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would be
Playbook Can be Accessed by 1.7 Million Girls, Including 571,000 From Communities of Color
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) announced today that it has partnered with Girl Scouts of the USA (GSUSA) to launch new financial education programming and resources to meet the needs of girls and their families in underserved communities.
The FINRA Foundation
In accordance with the industry-led initiative to shorten the settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor two production User Acceptance Tests (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). These tests will occur on Saturday, May 4, 2024, and
FINRA Targeted Examination Letter on Option Account Opening, Supervision and Related Areas - UPDATED
August 2021
FINRA is conducting a review of Firm Name practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.
The requests below pertain to both self-directed accounts and accounts in which registered representatives recommended options but excludes both institutional1 and managed accounts and covers the
REQUEST FOR COMMENT
Proposed Rule to Enhance
Confirmation Disclosure in Corporate
Debt Securities Transactions
Comment Period Expires April 19
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered Representatives
Senior ManagementTechnologyTraining
ConfirmationsDebt SecuritiesOperationsTransaction Reporting
Executive Summary
NASD is requesting comment on whether it
Both I and my husband are individual investors and what we invest in and how much we invest is up to us as long as we are personally responsible for our own investments. To put the proposed regulations upon us is a great misplaced idea and an unacceptable proposal. I do not need to be told what to invest in or take a test to determine my investment knowledge because as an individual investor I
It is important that the pending increased regulation of "complex products" is not passed or put into place by FINRA.
Products deemed as such as used by investors such as myself after careful study, constitute a very small portion of my or my family office's net worth/liquidity, but present a vital tool in risk managment and/or achieving more beta in certain investing
I am writing to oppose any further regulation on leveraged and inverse investment products. Individual investors like myself have access to prospectus documents, we can read how the product operates, and we know that all investments in the stock and bond markets come with risks. Who is clamoring for this regulation, besides regulators? You might prevent 1% of investors from making a mistake, but
I want to have freedom to choose my investments, there is disclosure of risk already before any "risky" asset can be purchased.
I do NOT support further requirements to trade these securities, I should be the one making decisions about risk I am willing to take.
Leveraged and inverse funds play significant role in my trading strategy and investment strategy and can not be
GUIDANCEInvestment Analysis ToolsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementIM-2210-6Investment Analysis ToolsPredictions or ProjectionsExecutive SummaryOn September 28, 2004, the Securities and Exchange Commission (SEC) approved an NASD Interpretative Material (IM) to Rule 2210, designated as IM-2210-6,