FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Healthcare of Ontario Pension Plan Trust Fund.
Proposed Rule Change Relating to Options Exercise Procedures
Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
I would like to see you actually enforce your rules. Not reminders, a actual punishment. Also not a "yeah we saw you steal 700 mil so we're just going fine you 70 mil and you can be on your way." No all of it. Everything that was taken, taken back. From what I have seen you don't enforce ur SSR rule, Threshold list rules, naked shorting rules, payment for order flow rules ect
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
This rule is disrespectful and elitist. There are unlimited resources online, many free, that can educate people about all investment products. Rules designed to "protect" investors simply enrich and entrench the wealthy. There will always be "gamblers" who invest unwisely, but the extreme overreaction of this proposed rule is not the answer. All investment
