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Effective Monday, December 5, 2022, ORF will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting rules. Please refer to FINRA Regulatory Notice 20-41 for additional information on firms’ reporting obligations under these amendments. ORF will support timestamps of up to nanosecond granularity on all inbound
Proposed limits on access to leveraged and inverse funds have no place in a public market. Individual investors are the appropriate judges of these investments' suitability for their particular investment plans. Plenty of sound advice is available for newbies, if needed, at a reasonable cost. The US regulatory regime is already outrageous, handicapping US citizens compared to nationals
I disagree with the regulation of my right to invest in inverse and/or leveraged funds. The ability to invest in these types of funds ought to be available to all types of investors, not just the high net worth people. My ability to hedge my investments is even more important the smaller my portfolio and net worth are. The regulations if imposed would impede the ability to respond quickly to
SEC Approves Supplemental Inventory Schedule
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Merrill Lynch, Pierce, Fenner & Smith Inc. $500,000 for supervisory failures that allowed widespread deficiencies in filing hundreds of required reports, including customer complaints, arbitration claims, and related U4 and U5 filings, and for its failure to file the required reports.
Diversity and inclusion are good for business. The financial services industry may not be known for its diverse workforce or inclusive culture, but FINRA is aiming to change that perception. Hear FINRA leaders share strategies and actions you can take to drive a more diverse and inclusive workplace.
As a former FINRA RIA, I have demonstrated the requisite qualifications to sell capital markets products to my customers. Gauging an individual investor's suitability based on net worth is not only misguided, it's also insulting. I should be able to invest in whichever product I deem appropriate. Particularly at a small amount. Without some bureaucrat's input who knows nothing
ATS NAMEATS IDFIRM NAME6732 ExemptionBGC FINANCIAL, L.P.BGCXBGC FINANCIAL, L.P. BONDSPROBNDSBONDS.COM, INC. BROKERTEC AMERICAS LLCIEBCBROKERTEC AMERICAS LLC BROKERTEC AMERICAS LLCIEBDBROKERTEC AMERICAS LLC CBOE FIXED INCOME MARKETS, LLCCFIMCBOE FIXED INCOME MARKETS, LLC CLARITY BIDRATE ALTERNATIVE TRADING SYSTEMCLRTARBOR RESEARCH & TRADING, LLC ClearList LLCCLERClearList LLC
NASD Rule 2110 - Standards of Commercial Honor and Principles of TradeMember ceasing to offer retail brokerage accounts with investment advisory and prime brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to a newly formed broker-dealer.