There is no good reason that investors of any kind should be segregated and barred from any type of public investment vehicles, especially not on account of available funds. This rule banning certain investors from inverse and leveraged investment vehicles would limit individual investment strategies and only benefit large institutions. It is fundamentally unfair and disrespectful to the
The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and vulnerable investors from exploitation, scams, and other questionable practices. This conference includes discussions of the rules on financial exploitation of specified adults, a regulatory roundtable,
(a) Before First Hearing Session Begins
Before the first hearing session begins, the Director may remove an arbitrator for conflict of interest or bias, either upon request of a party or on the Director's own initiative.
(1) The Director will grant a party's request to remove an arbitrator if it is reasonable to infer, based on information known at the time of the request,
(a) A mediator may be selected:
(1) By the parties from a list supplied by the Director;
(2) With the Director's approval upon receipt of the parties' joint request, from a list or other source the parties choose; or
(3) By the Director if the parties do not select a mediator after submitting a matter to mediation.
(b) For any mediator assigned or selected from a list provided by
In observance of Martin Luther King Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 16, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications,
SUGGESTED ROUTING
Senior ManagementCorporate DebtInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
Executive Summary
On March 18, 1993, the Securities and Exchange Commission (SEC) approved NASD rules regarding quotation- and transaction-reporting requirements for members trading high-yield, fixed-income securities. The following Notice answers some commonly
I was made aware that FINRA is seeking to put restrictions on L&I investments to "protect" investors. I'd like to offer up my experience as an example of why this is not needed. Details are below but I'd like to emphasize first:
I can make my own decisions about investments and do my own research. I don't need to prove to anyone that I
New Committee Highlights FINRA’s Commitment to Improving DEI in the Securities Industry
WASHINGTON—FINRA announced today that it has established an Industry Diversity Advisory Committee, advancing its commitment to diversity, equity and inclusion (DEI) in the securities industry.
The FINRA Board of Governors appointed members to the new committee at its September meeting, implementing a
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.To be eligible for the CRCP Small Firm Scholarship, applicants
This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
