On May 14, 2018, amendments to FINRA Rule 2232 will take effect, which require a member firm to disclose on the customer confirmation the amount of mark-up or mark-down it applies for certain trades with retail customers in corporate or agency debt securities. Disclosed mark-ups must be calculated consistent with existing Rule 2121. With regard to the client confirmation requirements and
Please apply rules for better transparency and competition in the stock market. Investor will invest more if they believe in the system. Right now it is questionable.
Proposed Rule Change to Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
(a) Majority Decision
Within 60 days after the final date allowed for filing proposed findings of fact, conclusions of law, and post-hearing briefs, or by a date established at the discretion of the Chief Hearing Officer, the Hearing Officer shall prepare a written decision that reflects the views of the Hearing Panel or, if applicable, the Extended Hearing Panel, as determined by majority
Technology has made stock trading more accessible to retail investors in a variety of ways, including the increased availability of extended-hours trading. But while placing an order to trade outside of regular trading hours might seem simple, this market can be complex and risky.
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 3110
FINRA Rule 5310
MSRB Regulatory Notice 2014-02
Notice to Members 06-58
Notice to Members 01-22
Notice to Members 99-12
Notice to Members 97-57
Rule 605 of SEC Regulation NMS
Rule 606
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Proposed Rule Change Relating to the Series 28 Examination Program
Proposed Rule Change Relating to the Series 27 Examination Program
This rule is absolutely unfair and limits the ability for average retail investors to earn outsized gains in the stock market. It makes it an un-level playing field with these products available to only large institutions and wealth managers, who in turn will charge extra fees to access these products. Putting a small allocation on my portfolio in an Leveraged and Inverse ETFs has personally
