[OCS SUBMISSION] As Principal and owner of small BD in business for over 40 years....I believe, along with my FINOP Sally Mann, that the shortened time frame for reporting from 15 min to 1 minute is NOT reasonable. This change would create havoc, expenses, and non compliance for many BD's. We strongly suggest no change to this rule.
WASHINGTON—FINRA announced today that it has promoted Nathaniel Stankard to Executive Vice President and Chief of Staff to the CEO for Regulatory Operations, effective immediately. In this new role, Stankard will be responsible for providing strategic direction on the integration of FINRA’s regulatory operations, and for helping advance FINRA’s unified approach to regulatory policy.
Stankard had
Summary
The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and
I am retail investor and would like to retain my ability to invest in the leveraged ETF's
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 5, 2022. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA
FINRA is committed to ensuring that all respondents are treated fairly in expedited proceedings. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the process for expedited proceedings.
FINRA’s expedited proceedings are governed by the Rule 9550 series of FINRA’s Code of Procedure and FINRA Rule
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
As a retail investor, I should be able to retire on a nurse's salary. Leveraged funds help my strategy. Thank you!
Public investments should be available to all of the public not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities. Everyone knows there is a risk with investments. We don't need these measures imposed on us. Please realize people need to do what is best for them without laws imposing upon our rights.
