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FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7. During the meeting, the Board approved two rule proposals and FINRA’s 2024 proposed budget , and continued discussions around FINRA’s financials, including expenses and the drawdown of reserves. The Board also appointed new members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), and previewed the 2024 FINRA Annual Regulatory Oversight Report.
Summary
FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services (DRS) arbitration forum. The amendments impose requirements on expungement requests (a) filed by an associated person during an investment-related, customer-initiated arbitration (customer
INFORMATIONAL
Decimalization Testing
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Decimalization
Executive Summary
In this NASD Notice to Members you will find information on Nasdaq® adding an additional pilot phase to its decimal conversion schedule. A summary of
I believe inverse and leveraged funds already carry appropriate warnings from both the market makers and brokers of these funds. The information is already out there with adequate risk analysis information.
Summary
FINRA has adopted amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck as to whether a particular current or former member firm is currently designated as a Restricted Firm pursuant to FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111).1
The new rule amendments become effective on June 1
Following consultations with the SEC staff, we temporarily withdrew from SEC consideration our rule filing establishing specialized arbitration panels for expungement requests so that we can further consider whether modifications to the filing are appropriate.
FINRA remains committed to working with the SEC and other stakeholders who share a common interest in revising the process for reviewing
In regards to notice 21-19, I feel any and all available information regarding short interest and shares affected be open and publicly available information, ideally on a daily basis. We have the means to update this information in a real time way and thus should do so for all shareholders. The stock market has a lot of untrusting investors currently due to the way hedge funds have handled their
Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
FINRA welcomes the
The Trusted Contact Persons section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
information needs to be accurately and timely reported-- period. That information is lagging is a joke-- that people charge to provide this lagging information is shameful. There should be no platform one has over another. That there is-- is evidence money buys influence -- this is a country of laws.. unless it is in the financial world. The markets are a free for all for those that control,