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FINRA has received a number of questions relating to a corporate action and trading halt in the Series A Preferred Shares of Meta Materials, Inc. (Meta Materials) that traded under the symbol MMTLP. This Investor Insights article provides general information about how corporate actions and trading halts are processed as well as specific information related to MMTLP.
Corporate Actions—FINRA
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
(a) Prior written notice shall be given to FINRA whenever any member guarantees, endorses or assumes, directly or indirectly, the obligations or liabilities of another person.
(b) Prior written approval must be obtained from FINRA whenever any member receives flow through capital benefits in accordance with Appendix C of SEA Rule 15c3-1.
• • • Supplementary Material
Background
Input from our stakeholders indicated that they would welcome greater transparency regarding FINRA's budget, especially its financial projections and potential use of fines. FINRA for many years has published an Annual Financial Report that is prepared and audited in accordance with GAAP6 that describes the prior year's finances and operations. In the interest of promoting
(a) A capital acquisition broker or an associated person of a capital acquisition broker must have a reasonable basis to believe that a recommended transaction or investment strategy (as defined in FINRA Rule 2111) involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the broker or associated person to ascertain the
Every day at FINRA, we protect investors from misconduct, stop fraud and provide restitution to harmed customers. And we are successful—in part because customers and other members of the public provide information and crucial evidence during the course of an investigation.
These comments are in regard to FINRA's Regulatory Notice 22-08 request for comments.
I am a non-professional, active investor who monitors and manages my personal portfolio every day. As such, it is important to allow active investors like myself to make their own determination of what products to use at what time to achieve their financial goals. Individual investors, not regulatory
The FINRA New Issue Form will be unavailable from 6:30 p.m. ET, Friday, September 25, 2020, until midnight ET Monday, September 28, 2020, while updates are made for the platform infrastructure conversion.
As FINRA has announced, the current FINRA New Issue Form is being retired and replaced with an updated submission platform. Beginning Monday, September 28, 2020, users will access the updated
In my opinion... All investors from hedge funds, to retail investors to those considering investing in a stock should be able to see the exact same data that hedge funds, and clearing houses and brokers see. It should all be in real time and it should be free. This needs to include Dark Pool data. Short interest should be reported in real time, and the number of shorted shares should never exceed
Protect yourself from hackers. Learn about the seven ways hackers may learn information through social media that can help them access your accounts.
