Displaying 2061 - 2070 of 9026 Results
The FINRA/Nasdaq TRF Carteret experienced an issue on Monday, April 1, 2024 that affected a subset of users due to connectivity issues with a number of TRF ports. While the issue was ongoing, Nasdaq advised the affected firms to use the FINRA/Nasdaq TRF Chicago as an alternative trade reporting facility to submit their trade reports.1 Nasdaq was able to resolve the issue before system close
This is an absolutely vile proposition, aimed at maintaining the status quo and blatantly trying to stop social mobility. What's even more shocking is that this is not even trying to mask itself as something else, it's just blatant discrimination and abuse of power. It is utterly shameful and completely antithetic to progress and growth. If you are trying to mitigate the chaos
SPACs, Margin Debt and CAT Among New Data Categories
WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot, the annual statistical report on the brokerage firms, registered representatives and market activity that FINRA oversees. This year’s edition adds new data about special purpose acquisition companies (SPACs), customer margin debt, the Consolidated Audit Trail (CAT) and other
To Regulators,
I staunchly oppose the proposed requirements to invest in leveraged ETFs and funds. I have invested in these funds for over 10 years and am fully aware of the risks. I am capable of reading the prospectus and understanding these risks. As a former financial advisor and principal, I have ALREADY passed a series of tests that prove my investment knowledge. However, even if I had
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 time of
FINRA Investor Education Foundation and United Way Worldwide Announce More Than $1 Million in Grants to Support Grassroots Financial Education Projects
GUIDANCE
Trading Volume and Interest
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Communications with the Public
Manipulative and Deceptive
Quotations
Publication of Transactions and
QuotationsRule 2120Rule 2210Rule 3310
Trading Interest
Trading Volume
Use of
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved a new Part XII to Schedule C of the NASD By-Laws prescribing requirements for the continuing
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co., Inc. $675,000 for charging unfair prices in municipal securities transactions and for failing to have an adequate supervisory system.
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements