Displaying 3501 - 3510 of 9026 Results
The Neutral Corner - Volume 2—2023
When Regulation NMS was adopted, the SEC and market observers did not recognize ex-clearing as a significant loophole. In the original crafting of Regulation SHO (implemented in 2005), the industry told the SEC that ex-cleared trades were "rare". As such ex-cleared trades were exempt from much of the short selling regulations. Dark pool trades (ATS and OTC) in 2021 now make up a
Rulemaking topics discussed include:
private placements,
debt research conflicts of interest,
short interest reporting,
minimum quotation sizes,
consolidated FINRA registration rules, and
replies to responses to motions in arbitration.
(a) If a party is added to an arbitration after the Director sends the lists generated by the list selection algorithm to the parties, but before the ranked lists are due to the Director, the Director will send the lists to the newly added party, with employment history for the past 10 years and other background information for each arbitrator listed. The newly added party may rank and strike
FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases). These summaries call attention to, and remind registered representatives and firms of, specific conduct that violates FINRA rules and may result in disciplinary action.
Received the letter, thank you for this reminder. I have been studying and managing finances for a long time, considering that this is a common investment for me and my family. At the same time, I also believe that having this kind of investment is a public investment that every investor should have. Public investment should be enjoyed by everyone, not a privileged class. When I made these
For Brokers and Advisers Registered with FINRA
Go to your state securities regulator to perform additional research on brokers and advisers.
Check if the SEC has brought formal actions against an individual.
Check if a financial professional has a criminal record.
For Other Financial Professionals
Commodities and Futures Brokers
CFTC Smart Check
National Futures Association BASIC
Insurance
(a) When Held
The hearing shall be held not later than 15 days after service of the notice and filing initiating the proceeding, unless otherwise extended by the Chief Hearing Officer or Deputy Chief Hearing Officer for good cause shown. If a Hearing Officer or Hearing Panelist is recused or disqualified, the hearing shall be held not later than five days after a replacement Hearing Officer or
John Q public should ALWAYS be able to choose what investments THEY feel is right for them....period. The USA is still a FREE COUNTRY and thus its citizens should always be free to choose their investment vehicles and strategies with NO special application, process or test to invest their hard earned money. As a FREE citizen, I know the risks that I am taking when I invest in any security that
It sounds like you want to take away my choice and right to hire someone to take care of my investments. I am totally against this move. It feels like an intrusion into my life. An intrusion into the time and money I invested in setting aside monies to provide for my myself and my family in my retirement.
There is so much wrong stated in this proposed change!!!
The statement "This