FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Hi, I have following comments/concerns regarding the investment choices for individuals: I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and
The decision on whether or not an inverse or leveraged product be available to an investor ought to rest solely with the investor. Any investor who would be willing to use such products is well aware of the risks and can make their own financial decisions. These are complicated products that the retail trader would not use. To be able to properly invest in financial markets requires extensive
I would like to see automatic reporting of shorts and short interest and not self-reporting. I have a three year old and if I'd ask her to self-report when she does something wrong life would be peachy. The brokers, market makers and multitude of firms, funds, offices and other institutions have shown that they are unreliable or downright fraudulent when it comes to reporting. They should
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The Securities and Exchange
INFORMATIONAL
Anti-Money Laundering Customer Identification Programs for Broker/Dealers
Effective Date: October 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
Executive Summary
On April 30, 2003, the Department of
If you’re one of the millions of Americans expecting a tax refund, take a minute before you rush and spend that found money. Here are six ways you can use your refund to help you improve your financial status in the long run.
Short selling and rehypothecation has been used to the detriment of retail investors and is threatening to destroy the entire market structure if left unchecked. Stricter reporting of positions, including naked shorts should be happening already. Brokerage firms, market makers, and other financial institutions were never meant to have as much control over the financial markets as they currently
Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023.
The purpose of this
