Displaying 611 - 620 of 4652 Results
I found out about the request for comment through https://www.leteveryoneinvest.com/ which in my opinion gives very misleading information about what FINRA is trying to do here. First, I think FINRA's enforcement of existing rules and regulations is extremely poor and that should be addressed before anything else. What's the point of adding additional suitability rules when the agency
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
There is no reason to restrict the retail investor from Leveraged and Inverse ETFs. The ETF companies and brokerage firms put out plenty of information and education about their products to keep the average investor informed. Trading stocks is risky it is not FINRA job to protect investors and traders from risk. As long as the ETF producers and brokerage firms make the information about the
WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understanding (MOU) to address crypto activities that fall within their respective regulatory mandates.
Hello, I was saddened to hear the news of regulations that are being considered. I understand where for the concern about protecting individual investors by restricting these assets from being sold. However, I would like to bring up two things that I think are overlooked - 1. The internet 2. Technology The internet now allows investors to easily gather information about these products and become
SummaryFINRA has adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other professionals who choose to subscribe to the new data set. This new transaction-level data will be publicly available and free of charge on FINRA’s website for non-professionals’ personal, non-commercial
Comment Period Expires January 31, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
NASD Regulation, Inc., is soliciting member comment on a proposal to discontinue after January 1, 1999, complimentary hard copy distribution of NASD Notices to Members and NASD Regulatory & Compliance Alert, which are currently available for free on the NASD
INFORMATIONAL
Continuing Education — In-Firm Delivery Of The Regulatory Element
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
NASD Membership and Registration Rule 1120
In-Firm
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.