I opposed this rule. I want freedom to be able to invest. Leverage funds are important to my strategy. I should have the rights to invest in these funds without any special process
Brokers should not be able to lent out our shares and use it for illegal short selling. Many brokers have this program, and some of them opt-in to lent out our shares even if the customers agreed not to.
Make naked shorts illegal. Make Dark Pools illegal. The corruption of the US finance sector is so perverse that it has drawn attention on a global scale. Get your [REDACTED] together.
Expungement, as an extraordinary remedy, should be recommended only in circumstances in accordance with FINRA rules to remove clearly inaccurate customer dispute information from the record of an individual broker that is associated with a broker-dealer firm.
Las personas solo pueden solicitar nuestra ayuda si están al tanto de la existencia de la Oficina del Ombuds. Es por eso que nos esforzamos por aumentar nuestro alcance entre aquellos que se hayan dirigido a nosotros con preguntas o inquietudes - inversionistas, la industria de corredores de bolsa, el personal de FINRA, y cualquier otra parte interesada de FINRA. En 2023, nuestro alcance incluyó
Investors and financial services professionals alike are increasingly using social media for a variety of business purposes. Social Media may be a new medium, but FINRA's rules on communicating with the public are still applicable. The rules protect investors from false, misleading claims, exaggerated statements, and material omissions. Below we identify key areas and concepts when using
¿Conduce FINRA sus procedimientos de arbitraje en Ingles?
¿Qué plazo tengo para radicar una solicitud de arbitraje? ¿Existe alguna norma de prescripción para ello?
¿Como se presenta un Reclamo de Arbitraje?
¿Dónde debo radicar mi escrito de demanda de arbitraje?
¿Quien se encarga de la notificación del Reclamo de Arbitraje?
¿Cómo presento una respuesta a una demanda de arbitraje establecida
Attend this session to hear helpful tips on complying with FINRA Rule 2210, Communications with the Public when creating, reviewing, approving, distributing or using retail communications concerning private placement offerings. Join panelists as they share helpful tips in identifying red flags in third-party prepared materials, the use of forecasts of issuers operating metrics, and distribution rates. Panelists also explain the process for filing offering documents, including retail communications, with FINRA.
