At the conclusion of an arbitration, an arbitrator may refer any matter to FINRA for disciplinary investigation that has come to the arbitrator's attention during and in connection with the arbitration.
Remember that time the people of Massachusetts weren't allowed to take part in Apple's IPO? I love blanket rules that assume those with wealth also have more knowledge and have done more research. Not everyone is lucky enough born into old money. But this sure is a step in the right direction to make sure fewer people have that privilege in the future. Make sure to limit the
These rules are exceptionally deleterious. In a free society with free markets it is presumed that individuals know their own best interests. Undoubtedly mistakes will be made, but these mistakes are self-correcting because people learn. Bureaucratic mistakes are not self-correcting, because when there is a mistake made. then bureaucracies tend to either deny, or add more regulations.
<p>If a member transmits orders to buy and sell TRACE-eligible securities to other broker-dealers for the benefit of various proprietary accounts of foreign affiliates of the member, the member is acting as agent and must report the transactions under Rule 6230.</p>
On Oct. 16, 2024, the Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory - AA24-290A, which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms.
<p>The FINRA Board of Governors will consider the following rulemaking items at its December 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
Please approve the new rules to tighten up short interest reporting requirements. There are too many loopholes that short traders use to hide and obfuscate their true short interest (eg hiding shorts in deep OTM put contracts) which puts retail traders at an information disadvantage, which is anathema to free market principles.
I would like to oppose this rule. In my opinion, investors who are investing in these complex products know the risks already. Also brokerage companies let us informed of the risks. Whenever i try to buy a leverage fund, my broker shows warnings at multiple places in big bold red letters during the transaction. I suspect if someone "accidentally" bought these leveraged funds. I
I oppose any restrictions on my right to invest in public investments. I do not agree that any special process like passing a test to be able to invest in public securities and inverse leveraged funds. Making investors try and prove their ability to protect my investments puts a restriction on my ability to secure my entire portfolio of investments. I am NOT ALIGNED with this notice as it creates
I clicked over to a website that does not support the proposed rule, but I *DO* agree with the limitations being proposed. I was Series 7 and Series 63 licensed, and have seen many people maneuvered into investments that neither they nor their financial advisors understood. The results can be devastating. I think it might be better to do a two-pronged approach with limits on the types of
