Thank you for your time. Currently as it stands, there is too little information in true short positions. With a market makers ability to create synthetic shares for “liquidity”, at some point the true positions need to be accounted for. If a bank, a market maker, and or other parties can hide positions through layered securities like CDOs or swaps, there is no benefit to the market, only the
Firms Elect Wendy Lanton as Small Firm Governor, Re-Elect Jim Nagengast as Large Firm Governor
WASHINGTON – FINRA announced today the results of its election of two Governors to its Board of Governors. At today’s Annual Meeting of FINRA firms, small firms elected Wendy Lanton, Chief Operations/Compliance Officer, Lantern Investments, Inc., as a Small Firm Governor. Large firms re-elected Jim
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) Each member and member organization shall submit to the Exchange at such times as may be designated in such form and within such time period as may be prescribed such information as the Exchange deems essential for the
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposal to rescind the Guidelines and to amend Article III. Section 35 of the Rules of Fair Practice to include items that were contained in the Guidelines and would
The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their Careers
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the 2022 FINRA Foundation Military Spouse Fellowship recipients.
Forty-five
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Subject: Investors ability to trade "complex products" - including leveraged and inverse funds (L&I Funds)
Dear Regulators,
I am Janakiraman Chandrasekaran, 59 years old and I like to voice my opinion regarding your proposal on limiting access to Leveraged and Inverse ETFs (complex products).
Educated Investor: I like to inform you that I am an educated investor in
Investors should be able to determine for themselves whether or not particular investments are appropriate for my or my family's investment goals. It suffices for investors to know that ANY security poses inherent risks, or more often, volatility.
The ability to invest freely is a necessary component of Americans' financial security: Social Security and pensions often are
