Displaying 27261 - 27270 of 34836 Results
Summary
FINRA has adopted amendments to its rules to clarify the application of FINRA rules to security-based swaps (SBS):1
FINRA has adopted a new Rule 0180 (Application of Rules to Security-Based Swaps), which, along with conforming amendments to Rule 9610 (Procedures for Exemptions—Application), will become effective February 6, 2022. The new rule replaces the expiring temporary Rule 0180
WASHINGTON—FINRA announced today that it has fined Credit Suisse Securities $9 million for failing to comply with securities laws and rules designed to protect investors, including the Securities and Exchange Commission’s Customer Protection Rule and FINRA rules requiring firms to disclose potential conflicts of interest when issuing research reports. As part of the settlement, FINRA also
Limiting the general public’s access to complex products while not limiting institutional access will greatly and unfairly benefit the richest citizens of this country, while hamstringing the middle class citizens who wish to generate income through complex products, and who do not have the means to go through institutions as middle-men. Americans should be free to choose where their money goes.
FINRA has updated the TDDS 2.0 Specification and the ORF API Specification.
The Market Center Originator value ‘u” has been redefined as “OTC Equity Security” and the Market Center Originator value of “F” has been eliminated.
Please email FINRA Product Management or call (866) 899-2107 if you have any questions regarding this notice.
3x etfs are fine. Have the exchange do what they already do and inform the investor at the top of the leveraged etf that they can lose their entire investment. Don't make it difficult to buy and hold tqqq long term...its only made me money... swing trading/ daytrading. But people that have held it long have done great.
A reflection on AWS' Non-Profit Hackathon for Social Good
Busy Respondent Attorneys will argue they "are not available" and will move FINRA to disqualify an arbitrator who try's to enforce the rule. It has happened to me.