I cannot believe how deep this corruption runs. Honestly, at this point id be hopeful that any number of these committees would do something to level the playong feild here. However judging by lack of action, i have come to one of two conclusions. You're either all corrupt and working together to rob the american public. The people who keep this coubtry running. The people you all considered
The Extended Hours Trading topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The problem is not the rules... Rules are there already and you know as well as everyone else that the issue is that the rules are for thee and not for me. Enforce the rules that are on the books and stop not only the naked short selling but also the political hacks working for your agency and all throughout the financial industry regulatory authorities. Tell me... How much again did Pelosi make
I am writing to protest the planned FINRA regulatory notice #22-08 that would restrict my right to invest in leveraged and/or inverse ETF products. These types of investment products are not for everyone but they do serve an important role in hedging and investment strategies for experienced investors who understand and can managed the inherent risks. Furthermore, banning these investment
Whether or not I am investing at this time is inconsequential. What is important is my rights under the constitution. You have no right to violate my constitutional rights. To insult my intelligence, is unexceptable. To limit my rights to protect myself and/or my family's livelyhood with financial security is unforgivable and a violation of my rights. We do not live in a society where
I'm writing to request more transparency, fairness and accountability in our financial markets, as all of us rely on our regulatory entities for that assurance. There are some things that are of particular interest to me: 1. Transparency of Buy/Sell orders in the market as a whole, including but not limited to OTC/ATS off market trading. 2. Information market makers have when it comes to
Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
Summary
Several member firms have recently notified FINRA that they have been victims of imposter websites—which are sites designed to mimic a firm’s actual website with the end goal of committing financial fraud. This Notice outlines steps firms can take to monitor for imposter websites and what to do if an imposter website is found.
Questions concerning this Notice should be directed to:
NASAA, the SEC, and FINRA co-hosted a free webinar on identifying and reporting the financial exploitation of senior investors. Firms can use this webinar to help train associated persons about how to identify and report financial exploitation of senior and vulnerable adult investors.
The training serves as a resource for firms implementing the requirements of the federal “Senior Safe Act” (
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of December 12, 1989, the following 33 issues joined the NASDAQ National Market, bringing the total number of issues to 2,713
