Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
cryptocurrencies ARE legitimate minus El Salvador. better than transfer services ( Western Union, Money Gram, RIA each OWE me so much (cancelled-denied-refunded by services- banks.
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
Each person engaged in the investment banking or securities business of a member shall be registered with FINRA as a representative or principal in each category of registration appropriate to his or her functions and responsibilities as specified in Rule 1220, unless exempt from registration pursuant to Rule 1230. Such person shall not be qualified to function in any registered capacity other
Summary
In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes to TRACE reporting for U.S. Treasury securities that would require: (1) more granular
FIPS
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
FIPS
As of May 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ENQ.GD
Amer Media Operations Inc.
10.250
05/01/09
ACVC.GA
American Achievement Corp. Ser B
11.625
01/01/07
BGG.GA
Briggs &
FINRA announced today that it has expelled APS Financial Corporation, located in Austin, Texas, barred the firm’s former President, George Conwill, and barred Peter Aman, a former broker at the firm, in a scheme which overcharged an elderly investor by $1.2 million.
While I fully understand the need to have informed investors by placing common investment vehicles such as ESG funds , CEFs, ETF etc. on the list only serves to limit investments from the "common citizen".
In addition artifical barriers such as " broker approval" and tests seem to tilt the landscape toward forcing individuals to use "advisors"
I think the individual should have the opportunity to make whatever Investments he or she chooses is appropriate. The regulator shouldn't tell him what the individual can and can't do. If there is fraud involved, that's a different matter. But if the individual would like to use a leverage long or inverse product, he should have the right to do so. But I do think that
