Hi,
I came across this information that FINRA is trying to come up with regulations that will decide on who gets to invest in which publicly available securities.
I don't see any reason why FINRA should dictate what I should or should not invest in. I should be personally responsible and liable for my decisions.
Additionally this may create an unfair advantage for privileged few and
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The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
In June 2009, FINRA issued Regulatory Notice 09-31 to remind firms of their sales practice obligations relating to leveraged and inverse exchange-traded funds (ETFs). At the same time, the Investment Industry Regulatory Organization of Canada (IIROC) issued guidance to the Canadian industry that is substantially similar to our Notice. In July we released a compliance podcast concerning the Notice
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The US stock market is one of the most corrupt organizations in the world. The SEC only protects Wall Street at the expense of the public. Laws that were created in 2008 are blatantly broken every day. Felonies are committed against retail investors and no regulatory institutions do anything about it. Why make more laws? Why pretend FINRA or any other agency protects the best interest of the
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Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also encouraged to review its BCP to consider
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On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for
As part of its Transparency Services improvement initiative, beginning Monday, May 19, 2025, FINRA will re-platform TRACE Securitized Products (SP) to a new Linux-based operating system. FINRA requires client testing participation in this effort to validate that all processes work within the TRACE reporting framework. TRACE clients who utilize FIX for SP trade entry and other transactions should
There isn’t ANY transparency within the market. Would like the same information as everyone else. Dark pools need to be monitored and used for their attended purpose of large transactions that are approved or rejected by a third party. SSR needs to be enforced much more strictly. FTDs need to be enforced without delay. Actual substantial fines for FTDs, naked short selling to discourage illegal
