The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
It's my money - not yours, to decide which products to invest in. This is an injustice amongst retail investors. We weigh the factors before investing, this 'Rule' is just more regulation against retail investors & inhibits are ability to be part of a open & balanced free-market to which is what is badly needed - not regulated to unhinged that privilege.
In my opinion Finra needs to stop loading restrictions those don't make sense. Let traders and me decide rules for public investments unless it's protection of my assets. No test process is needed without my approval stupid. Too much government and it's control is not acceptable while filling their own pockets using corruption.
I would like to speak in opposition to rule changes re leveraged ETF's. These investment products have allowed me to hedge some of my risk in the markets. These products are cost effective. They allow me to keep most of remaining investments in conservative low beta alternatives, while allowing a small portion of my portfolio to hedge some of the risk. Steve Davis
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. The day trading restrictions and wash sales rules have already made it very unfair for little guys like me in comparison to institutes and hedge funds. I not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged.
(a) If a party objects to producing any document or information requested under Rule 13506, it must specifically identify which document or requested information it is objecting to and why. Objections must be in writing, and must be served on all other parties. Parties must produce all applicable listed documents, or other requested documents or information not specified in the objection by
As a retail shareholder and investor (equities and options) in multiple companies such as Tesla, Gamestop, AMC, along with the typical ETFs tracking the broader market I feel that we have not been well served by the current rules and system. The lack of transparency, limited reporting, and massive loopholes like synthetic short positions and loan obligations not being required to be reported in
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsOptions
Executive Summary
New uniform provisions regarding the exercise cut-off rules for expiring equity options will become effective commencing with the February 1995 expiration at each of the five registered national options exchanges and the National Association of Securities Dealers, Inc, (the SROs).1 This
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On May 13, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article V, Section 1 of the NASD Rules of Fair Practice. The amendments permit suspension of members and associated persons in disciplinary actions
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed amendment to Article III, Section 21 of
