Displaying 4001 - 4010 of 9026 Results
FINRA previously announced it will be modifying the Statistics data on the OTC Transparency Data website to enhance the amount of information that is available to its users.
These enhancements will now occur beginning on Monday, November 21, 2022.
If you have any questions, please contact FINRA Business Services.
SEC Proposed Rule #S7-24-15 is unnecessary and prohibitive. Levered ETF's are a great way to invest and people who use them know the risks and rewards. Investors are not stupid and understand leverage. You do not need to place obstacles in the way of anyone who chooses to use levered ETFs in their portfolio. The SEC should not have the right to tell me what investments are or are
I should always be able to choose the investments that are right for my portfolio. Public investments like leveraged and inverse funds should be available to everyone and not just the privileged so called experts. This restriction sounds familiar to the last time the market began to pull back in 2007/2008 and I find it interesting that every time the government prints more money and the Fed
Dear regulators,
I should be able to choose publicly available investments that are right for me and my family. This filling is an over reach. Ordinary Investors like myself and others are much more sophisticated, informed, educated, and savvy than previous generations. With the the prevalence of Fintech platforms and the Internet financial education has never been easier to obtain, and reliance
Visualize yourself as one of our 3,600 smart, dedicated and passionate employees – what do you see? Watch the videos below to hear employees from New York to Denver (and more) discuss what it’s like to work at FINRA, and how each of them contributes to our mission of facilitating investor protection and market integrity.
Listen to Brooke, a manager of FINRA’s Securities Helpline for Seniors in
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
Dear FINRA regulators: I oppose any restrictions to my right to invest. 1. If I chose a complex fund to invest into, it means I understand the risk and benefit of it after having done my research; otherwise, I would go with a standard investment retirement package. I can take care of my money by choosing where to invest without government oversight. 2. I should not be required to go through any
I am concerned that broad strokes are being made to decide what is overall the right investments for the American public. More and more investments are being put in the domain of "accredited investors" and it is going to prevent the American people from being successful. People, not regulators, should be able to choose the types of public investments that are right for them and their
SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
/**/
Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes
13100. Definitions
13101. Applicability of Code and Incorporation by Reference
13102. National Arbitration and Mediation Committee
13103. Director of FINRA Dispute Resolution Services
13104.