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The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5 that would require broker/dealers to file two reports
Given the growth of the international prime brokerage (IPB) business, FINRA recently interviewed representatives from many of the largest prime brokerage firms to determine how this business is conducted.
In an era when much of our lives happen online, cybersecurity is more important than ever. But what do you do to protect your personal information? We all have a role to play in keeping ourselves secure. This National Cybersecurity Awareness Month, tune in to learn more about how you can keep yourself, your family and your clients safe online.
Increased visibility into market activity. Retail investors cannot be kept at a disadvantage to institutional investors. It's not a fair market if we aren't playing the same game, with the same tools and the same information. Dark pool trading needs to be limited to specific use-cases if not removed entirely. No high-frequency trading. Short positions should be disclosed and those
WASHINGTON—FINRA announced today that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek best execution for its customers’ orders.
“The duty to seek best execution for customer orders is a fundamental obligation of any broker-dealer that buys or sells securities on behalf of customers,” said Jessica Hopper, Executive Vice President and Head
GUIDANCE
NASD Sanction Guidelines
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NASD Sanction Guidelines
Executive Summary
This Notice advises NASD member firms of modifications to the
NASD Sanction Guidelines (Guidelines). NASD has amended the
General Principles Applicable to All Sanction Determinations
(
Yes to all. The more transparent, the better. The sooner, the better. Reporting should be on a daily basis, regardless of cost, and I feel that these practices should apply to ALL firms, member or otherwise. This needs to be an across the board regulatory process. The application of these changes, based on membership, will certainly be a cause of competitive discrepancies and will eventually
Hello. I am a supporter of transparency within the stock market. I have found that there are certain holes in the current regulations that make it possible to conceal important and actionable information from the public. These include: The lack of requirements for disclosure of an entity's short positions The lack of daily (or instant if possible) updates as to the current short interest of
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org”. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.
The domain of “invest-finra.org” is not connected to FINRA and firms should delete all emails
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