There is no further need for the government to >further< limit my access to leveraged investment funds. Information on the risks is made available to investors and it clearly lays out the uses and risks of these investment products. I(we) do not need further government intrusion into this area of our personal investment decision making and choices.
Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended.
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The Neutral Corner—Volume 3, 2019
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1. All short sales must be reported to FINRA by the end of each settlement day and made public by the beginning of the next settlement day. - FINRA must automatically pull the information by market close electronically (i.e. NO self-reporting) 2. All unused loaned shares must be reported to FINRA by end of settlement day and made public by the beginning of the next settlement day - FINRA must
Investors should be able to choose their own investments, regardless of the risk. They bear their own responsibility. SEC should not limit an investors ability to choose their own investments. We know every investment bears risks, and there is plenty of research and information available for investors to make their own decisions for themselves and their families.
Please stay out of my choices as to what securities I purchase. You should restrict your activities to insuring that the information which I receive is complete and accurate and not decide what I should or should not purchase. I have NO confidence in the judgement of a government bureaucrat who does not know what the real world is.
"FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity. FINRA believes that these potential changes could
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EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer, Form U-4, and the Uniform Termination Notice for Securities Industry Registration, Form U-5. The changes
Summary FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other
