Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative-Private Securities Offerings (Series 82) examination program. The
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative-Government Securities (Series 72) examination program. The proposed
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the General Securities Principal (Series 24) examination program. The proposed revisions update
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the General Securities Principal Sales Supervisor Module (Series 23) examination program. The
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
Comments: I am concerned with the enhanced rules regarding "complex products". There seems to be a lack of faith by FINRA in investor knowledge about these products, when in reality, investors are capable and responsible to educate themselves on products they invest in. There is a huge variety of platforms available for investor education, and product choice should not be
It is very important that you as regulators stick to protecting people that need protection and allow investors that understand the risks/rewards act in a free market system.
Leveraged and inverse funds are important and needed tools in our investment portfolio.
Please do not put further rules and restrictions on our investment choices.
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Transparency in the market! Frequent monitoring of naked shorting especially from Citadel who is a Market Maker and Hedge fund which is a conflict of interest. START ENFORCING RULES FOR ALL PARTIES EQUALLY.
We want transparency We want a free and fair market We need way bigger fines/jail time for those who disregard the rules Just take a look at AMC stock
