Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
I am president of Liberty Capital Investment. We are a small BD with 5 reps. We often buy bonds from 3rd party vendors. We find our clients can get prices by using an outside vendor like Muni Center versus buying from out correspondent inventory. Filling these orders often takes 10 to fifteen minutes to report. In the interest of best client price I remain firmly in favor of keeping the 15 minute
Generally, brokers and dealers use subordinated loans and notes collateralized by securities (referred to as subordinations) to borrow funds or securities from investors to increase their regulatory net capital. Pursuant to FINRA Rule 4110(e)(1), subordinations must be approved by FINRA in order to receive beneficial regulatory capital treatment.
Sec. 11.1 FINRA shall be the sole stockholder of the capital stock of FINRA Regulation.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
Melvin Capital complaint - lack of reporting regarding naked short positions leading to chart manipulation through darkpools. I hope something is done about behavior indicative of intentional malevolent chart manipulation by hedge funds developing bad risk analysis putting the broader markets in jeopardy by aggressively naked shorting stock with little regard for who's money they are putting
GUIDANCE
Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Financial
Legal and Compliance
Senior Management
Annual Audits
FOCUS Reports
Schedule I
Executive Summary
Securities and Exchange Commission (SEC) Rule 17a-5 requires broker-dealers to file certain financial reports with NASD within a specified number of days
Anyone who wants to invest should be able to. High risk investments are already limited at brokerage firms, example if you wanted to invest in certain option contracts brokerage firms will require a specific amount of capital in your account or you have to be eligible to invest using margin. Firms already are doing this to protect their risks so this would be unnecessary. Average investors should
Your threats to regulate and restrict my investment options is an insult to my intelligence and yet another slap in the face to the American value system and spirit of free enterprise and capitalism that has BUILT this country!!! I hedge to protect my investments and returns from volatility by using many of the products you are attempting to restrict...by doing so you will only succeed in
Please oppose any restrictions on my right to use my money as I deem fit. I understand the risk of leveraged funds and do not require any special measures imposed on me. I can't help but believe you really don't care about my welfare but only care about corporations possibly losing capital. Why would things change now when things did not change during the longest bull run in the history
The risks of investing are well known. Loss of capital is always possible. The risks of investing in leveraged and inverse funds are equivalent. As an investor, I don't need the government to tell me what I may or may not invest in. Your duty is not to protect me from myself, or from possibly poor decisions I may make. At the limit, your duty may be to inform me of risks, but beyond that, it
