I believe it is critical that FINRA mandate daily reporting of short positions by all members, to include synthetic shares. It is clear that FINRA does not receive accurate updates from its members on the above and that it is having a profound negative effect upon the overall market. Retail perceives FINRA in a negative manner, an organization that does not enforce any of its rules and which
I oppose any and all actions that would restrict the ability of any individual to invest their own property how they see fit, especially rules that intentionally exclude persons based on wealth or income.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4 of Schedule A to the FINRA By-Laws to: (1) revise the fee for the Regulatory Element of continuing education (“CE”); (2) establish the fee for individuals who elect to maintain their qualification following the termination
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to implement the effective date of recently-approved amendments to these rules. The amendments allow firms to develop flexible procedure for the review of correspondence with the public.
Non-Party Witness’ Attorney May Attend Hearing While Witness Is Testifying
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules primarily to provide FINRA with temporary relief from certain timing, method of service and other procedural requirements during the period in which FINRA’s operations are impacted by the outbreak of the coronavirus disease (COVID
FINRA has implemented Form BR (Uniform Branch Office Registration Form) functionality enhancements for initial Form BR submissions that allow firms to de-select FINRA when establishing a new location designated as an RSL that needs to be registered or notice filed with a jurisdiction, the New York Stock Exchange (NYSE), or both, as a branch office. Further information on these functionality enhancements and how firms should complete an initial Form BR is available in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
I should have the right to and freedom to invest in any funds. I'm an adult that can choose my own risks and rewards and shouldn't be limited to such. I find this proposed rule a corrupt fraudulent act.
