Displaying 391 - 400 of 4652 Results
This Rule applies to all requests to expunge customer dispute information from the CRD system, except that when a party requests expungement of customer dispute information during a simplified arbitration pursuant to Rule 12800(d), only those sections of this Rule that are specifically referenced in Rule 12800(d) through (f) shall apply. Except as otherwise provided in this Rule, all other
All capital acquisition brokers are subject to FINRA Rules 2080 and 2081.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
This is completely ridiculous. If I have a brokerage account and read the disclosures on my broker's site, I know exactly what I'm doing and getting myself into. There is no need to babysit investors.
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the
Three FINRA rules form a regulatory scheme addressing the supervision of firms and their associated persons.FINRA Rule 3110 (Supervision)FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.The rule details
This data provides trade activity for up to 10 years for collateralized mortgage obligations (CMO) quanties under 1 million. A CMO is a type of mortgage-backed security in which mortgages are bundled together and sold as one investment. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Weekly and monthly reports for CMO quantities
As an investor, I need to be able to choose to invest in Leveraged securities such as TQQQ and UPRO. There is considerable backtests in SeekingAlpha and other sites to prove that they are very effective for investors.Please do not remove TQQQ, UPRO etc
Short interest is a snapshot of the total open short positions on the books and records of brokerage firms on a given date. FINRA and U.S. exchange rules require that this information be reported twice a month. Short interest data does not—and is not intended to—equate to the short sale volume data on FINRA’s website.
I gained over $1000 on my DIS today. It will cost me $274 to protect 100 sh (about 1/4) of my position with a put option for next week. That's costly.
FINRA should advocate my right to buy & sell options on a fractional basis. At a cost of $2.74 a sh I should be able to buy a fractional put for as many shares as I can afford.
There is no need to make it more difficult
To whom it may concern. I am on a site I hope is not true I have expanded with Entrepreneur Skills through out time I have me own personal studies and certification online and on hand experience. Ms Sanchez.