The rules of Finra need to be changed. They may have been created to help reduce the predatory practices of unscrupulous brokers and protect individuals from such practices, and there may be a need to protect individuals from themselves, but we each bear the responsibility of knowing what we are doing at any given time. I have traded stocks, options, futures and forex. It is a lifelong process,
FINRA experienced an issue on December 23, 2024 with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of November 18, 2024 (NMS Tier 2 and OTCE). FINRA is working on resolving the issue and will provide an update once the issue is resolved.If you have any questions, please contact FINRA Business Services.
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
FINRA Dispute Resolution has received inquiries from lawyers who represent investors and those who represent investment advisers (IAs) which are not FINRA members about the availability of FINRA’s arbitration and mediation forum to resolve their disputes.
Guidance on Donations Due to Federally Declared Major DisastersQ: Would it be consistent with FINRA Rule 3220 (Influencing or Rewarding Employees of Others) for a member or an associated person to donate goods or money (either directly or through a fundraising platform) to employees of an institutional customer for losses sustained due to a federally declared major disaster? NEWA:&
Before you accept that first post-retirement paycheck, make sure you understand exactly how working after retirement may impact alter your Social Security, pension benefits and other retirement income.
