Displaying 5181 - 5190 of 9027 Results
More regulations no sirs. There are to many now that limit the small investors like me that contribute to the benefit of our economy and others retirements. With out this type of strategy available I will be pushed out of your system and take my money elsewhere . I am putting up with your current rules because I still feel I can get ahead with out risking it all. I feel the majority of people in
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 7470 (Exemption to the Order Recording and Data Transmission Requirements) to extend for three years FINRA’s ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System (“OATS
As a 'retail investor' I support these measures. I have investments with professional financial advisors/brokers as well as my own self guided investments. I can honestly say if I were to get into complex products such as options, leveraged funds, etc I would not understand the true risks I was taking. I trust my financial advisor/broker to understand and manage these risks, so I would
As announced in a Technical Notice on April 1, 2019, there was an issue where firm data was being displayed under multiple names. This was occurring when there was a mid-reporting period name change. FINRA has updated the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. All historical data has now been updated. In addition, there may
The FINRA Board of Governors will consider the following rulemaking items at its September 2013 meeting.
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended hours trading.
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
I would like Finra to adopt the following measures. 1. Report every time a share is lent and create a tracking system so the same share cannot be lent more than once. 2. Force the RegSho requirements of FTD to attach to the stock/obligation so the T+35 is not reset through measures such as swaps or other derivatives trading. 3. Eliminate Naked Shorting in all circumstances. 4. Adopt fines in