SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceResearchSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., and a committee of the Securities Industry Association have developed a joint memorandum that
It feels like all these additional hurdles and restrictions are being considered to benefit the larger hedge funds and money managers and restrict individual investors from access. I have always been able to choose the type of investments that are right for me and my family, I understand the risks as well as benefits to investing. I am an adult and would like to continue the freedom of choice in
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
INFORMATIONAL
Disclosure Of Order Routing
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Exchange Act Rule 11Ac1-6
Disclosure of Order Routing
Executive Summary
Rule 11Ac1-6 under the Securities Exchange Act of 1934 (Exchange Act) requires all broker/dealers that route customer orders in equity and option
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. As noted in the Regulatory
All reports should be consolidated for all markets in one location where it is easily accessible to all investors. FTDs should be reported daily and should be required to be cleared within a a T3 timeline without exception. Short positions and changes to those positions should be reported daily and that information should be made available to all investors no later than the next business day
LETFs are indeed complex investment instruments but I believe current disclosure requirements are more than sufficient for investors to remain informed about the products they are buying. Limiting the purchase of LETF products to accredited investors or requiring financial literacy tests to purchase only puts unnecessary roadblocks in place that are easily circumvented. Enforcing one day holding
Fair Play. I don’t think a hedge fund should be involve in market maker ( conflict of interest) . Privilege to have first hand information. Short positions must be disclosed. Media should be regulated, they are not financial advisor. They can’t tell people what to buy or what to forget. And the most important. Laws and rules must be followed. Institutions must act accordingly , the employees of
From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:Monday, December 25, 2023 ClosedMonday, January 1, 2024  
