SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
Retail trader here I believe FINRA 21-19 is long over due the integrity of the United States market depends on it and here's why. The policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they leave significant specific gaps that could compromise the entirety of 21-19's purpose. It is important for the restoration of both the
Dear FINRA, As a US citizen and investor, I expect to be able to make my own decisions when it comes to my investing choices. Individuals should be able to choose from a variety of investments, including leveraged and inverse funds, in accordance with what is right for them in their own opinion. We are adults and can make our own informed decisions without having to jump through additional hoops
In an era when much of our lives happen online, cybersecurity is more important than ever. But what do you do to protect your personal information? We all have a role to play in keeping ourselves secure. This National Cybersecurity Awareness Month, tune in to learn more about how you can keep yourself, your family and your clients safe online.
Did you know discretionary trading in your account is allowed, but only if you've authorized a broker to do so and the broker’s firm has approved it?
Understanding the benefits and risks of various types of orders can help you avoid unintended losses and better ensure your trades are executed in a timely manner and at a price with which you are comfortable.
The failure of a firm might understandably cause some anxiety for its customers. However, should your firm cease operations, you shouldn’t panic: In virtually all cases, customer assets are safe and typically are transferred in an orderly fashion to another registered brokerage firm.
As algorithmic trading strategies, including high frequency trading (HFT) strategies, have grown more widespread in U.S. securities markets, the potential for these strategies to adversely impact market and firm stability has likewise grown.
FINRA member firms that engage in algorithmic strategies are subject to SEC and FINRA rules governing their trading activities, including FINRA Rule 3110 (
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 21, 1998, the
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective