Testimony of FINRA Chairman and CEO, Richard Ketchum, Before the Subcommittee on Securities, Insurance and Investment, United States Senate
The Liquidity section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Hello,
I am a retail investor with a working knowledge of markets and the economy. I take it upon myself to be educated and enjoy the freedom that provides me to handle my own financial affairs. While I do understand the need for basic regulation of the market and its professional participants, I summarily reject the premise of restricting my ability to succeed, or fail, based upon my own
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
Hello,
My name is Christopher Francis Lewis Patterson. I am an non-traditional, first generation undergraduate Business Information Systems Major communicating to you in the midst of finals at CSUDH Dominguez Hills in Carson, California. There’s a lot of other details about me that you may find interesting relating to my upcoming dialogue, but that’s not what this comment is about.
I would like
I am writing to request that FINRA reform their short-sale and FTD reporting to the highest enforcement standards possible. Specifically, I am concerned that FINRA's current blindness with regard to alternate formations of short interest through "married puts" and arranged financing leads to unquantifiable systemic risk which can then be rolled over indefinitely with low borrow
I am a retail investor in my later 30's. I have only been contributing to my 401(k) for the last 4 years, and opened my Roth IRA in early 2020. I have not been investing very long, and plan to be working another 30 years before I'll have enough to retire on. I tell you this only because I want you to understand how totally and completely the last 18 months have shaken my confidence in
So Investments are too complex for us "regular" people? Discrimination much? Investments are only for those with a high net worth? Discrimination much? It's 2022, the time where we all talk about discrimination and how we can fix it. Well with what's been coming out of lawmakers hands in 2022, has been fueling the discrimination fire. I started investing in 2021 when CoinBase
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
Public GovernorRetiredGovernor Since 2018Committees: Audit & Risk Committee (Chair), Compensation & Human Capital Committee, Conflicts Committee, Executive CommitteeProfessional ExperienceExecutive in Residence, Christopher Newport University (2015 – 2018)Executive Vice President, Operations and Technology, TD Canada Trust (2011 – 2015)Executive Vice President, Human
