I would be categorized as a "retail" trader. The assumptions being made in this proposal are insulting, it wrongly assumes so called retail traders are uneducated in many of the products named in this proposal. The assumption non-professional traders lack understanding of these products is not what I see on a daily basis. I trade with hundreds of other traders in a Discord chat room and
February 10, 2004
NASD member firms may contractually arrange for another member firm or non-member entity to transmit order events to OATS on their behalf. Such arrangements must clearly specify the responsibilities of each party with respect to OATS reporting.
As required under NASD Rule 6955(c), Reporting Members using a third party to record and transmit their OATS data must have a
Summary
FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.1 FINRA has also amended its rules to require parties in proceedings before the Office of Hearing Officers (OHO) to file and serve the parties with their current email address and contact information at the
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
For those who have an FPL account, is there a way in which we can view where the broker is getting the variable interest rate used? I have noticed is a fraction of what is reported from sources like fintel.io. Seems like there are many behind the scenes deals going on to allow for manipulation. If stocks are loaned out, then the interest rate should be able to have some reference of where the
I believe in requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic short positions achieved through the sale of a call option and purchase of a put option (where the options have the same strike price and expiration month) or through other strategies. FINRA believes this information would assist FINRA
I feel that the current system of allowing Hedge funds, and wealthy investors to run rampant on Wall Street shorting stocks into oblivion only to slight the retail investor. Overleveraging themselves into positions based on pride and ego and then expecting the American Taxpayer to foot the bill when they go bankrupt and lose people's retirement and 401k is absolutely appalling. Selling
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
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This version of the rule is effective for cases filed on or after Mar 04, 2024 through Mar 02, 2025.To view other versions open the versions tab on the right.(a) Applicability of RuleThis rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. All arbitrations administered under this rule will be decided on the pleadings and
