Displaying 5271 - 5280 of 34834 Results
Summary
The NSCC1 administers ACATS, a system that automates and imposes specified duties and performance timeframes to facilitate the transfer of accounts, in whole or in part, from one firm to another. The NSCC recently announced a change to ACATS that will allow a receiving member (the firm slated to receive the customer’s account) to use the “receiver delete” function to remove alternative
You should not limit the options for investing that your constituents, after careful consideration, make a decision to move forward with. Everyone deserves the same choices. Why would you want to discriminate? Enforce transparency to instill good decision making.
FINRA’s National Cause and Financial Crimes Detection (NCFC) Cyber and Analytics Unit (CAU) has noted a recent alert issued by Microsoft on May 30, 2022.
The Microsoft alert describes a remote code execution vulnerability, named “Follina” by security analysts, related to the Microsoft Support Diagnostic Tool (MSDT) that can be used by a threat actor to run malicious code. As a result, a threat
restricting the buying of Crypto ETF funds would seriously [REDACTED] investors cash flow & not would be a major violation of the Fair trade act
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re-platform the FINRA OTC Reporting Facility (ORF) to a new Linux-based operating system.1 This update is in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
ORF currently supports timestamps up to milliseconds. Effective December 5, 2022, ORF
I oppose any limitations on my ability to invest in ProShares funds. I have found them to be very useful for me to diversify my investments and that it would harm me if my ability to invest in these funds were restricted.
Regulators should clean up their own house concerning stocks and bonds buying before they worry about what I am doing.
WASHINGTON— FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay more than $15.2 million in restitution and interest to thousands of customers who purchased Class C mutual fund shares when Class A shares were available at substantially lower costs.
Mutual fund issuers offer different classes of mutual fund shares, including Class A and Class C
WASHINGTON—FINRA announced today that it has appointed Michael Solomon as Senior Vice President of Examinations. Solomon will assume this role on June 6 and report to Greg Ruppert, Executive Vice President and Head of Member Supervision.
Solomon will be responsible for overseeing the strategic direction and execution of FINRA’s national Examination Program, assuming responsibilities previously
The regulation being considered is yet another instance of lawmakers infantilizing citizens. This is wholly unacceptable and a clear violation of our right to choose public investments that are right for me and my family. Your incursion into this sphere is an affront to all. This isnt like driving, where being required to prove competence makes sense - because it impacts the public as a whole (