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.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the SEC’s recent amendments to Regulation S-P.[1] On May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements and requiring covered institutions to (1) adopt an incident response program and (2) notify affected individuals whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization.
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
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.
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
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
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
(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
This effort is quite extraordinary. It was clearly an enormous endeavor to create the taxonomy and build out the site. I think that many other agencies will benefit from this work and would be very interested in your process, the time and resources required to undertake this type of initiative. It is daunting to think about where to begin.
