Displaying 4101 - 4110 of 9027 Results
View frequently asked questions related to portfolio margining under FINRA Rule 4210.
Agreements
Subscriber Agreement Information (Terminals & Snapshot Data)
Subscriber Agreement v 7.2
Subscriber Agreement Comparison v 7.1 to 7.2
Subscriber Packet v 7.2
Subscriber Packet Comparison of Versions 7.1 to 7.2
Completed agreements can be sent electronically to TRACE Data Services.
Related Products
Real-Time Data Information
Additional Information
Frequently Asked
Public GovernorRetiredGovernor Since 2022Committees: Compensation & Human Capital Committee, Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperienceMAK Management Consulting (2016 – 2022)Morgan StanleyCo-CIO and Managing Director, Global Technology (2013 – 2016)Managing Director and CIO – Wealth and Investment Management (2010 – 2013)Managing
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
For any public offering that is required to be filed pursuant to FINRA Rule 5110(a)(2), FINRA Rule 5110(a)(3)(A) describes that the required documents and information must be filed by participating members with FINRA no later than three business days after any documents are filed with or submitted to the SEC, including confidential filings or submissions, or any state securities commission or
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
State participation in CRD Phase II, the Form BD (Uniform Application for Broker-Dealer Registration) and Form BDW (Uniform Request for Broker-Dealer Withdrawal) processing phase of the CRD system will begin
It's my money to lose. If I make a mistake and lose everything, too bad for me, I'll just retire later. My loss is somebody else's gain. This change doesn't benefit anybody except by granting financial service providers a monopoly on access.
There is no need to regulate Aggregate Stocks. I use Spiders to avoid paying for Mutual Fund Service fees. I want my Investment funds simply to track Market Index.
Please keep it to the decision of each individual investor whether to have the risk or not.
There is no need to regulate
Not agree with the proposed action .it's unnecessary. Nothing is wrong with the current system.
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective