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(a) Terms used in this Rule 6170 shall have the same meaning as defined in Rule 6220.
(b) Any ADF participant that is required to obtain, or otherwise wishes to use, more than one Market Participant Identifier ("MPID") for purposes of displaying quotes/orders or reporting trades through the ADF must submit a written request, in the form required by FINRA, to, and obtain approval
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public.
FINRA E-Bill is an online billing system through which firms can review invoices and submit payment via wire transfer or ACH (or online by credit card). E-Bill is accessible through the FINRA Firm Gateway-a tool that provides centralized access to FINRA regulatory and filing applications.
Any new rules to regulating shorts would be very welcome as a retail investor. As far as I’m concerned, these are the biggest problem in enforcing REG SHO and regulation of the shorting market is the T2 settlement period which obscures net positions for the average investor. And the other is the blurred line of market makers and hedgefunds. Hedgefunds can easily parade themselves as “bona fide”
Please, as an Investor in the US markets I never understod how much manipulation there is. I invest my money and get robed by the unorthodox ways of manipulating the markets by the big market makers and hedgefunds. They short stocks til infinity Buying and selling thru dark pools and of the books trying to fix the price and leaving retail investors BLEEDING right before the eyes of the SEC and
WASHINGTON, DC – The Financial Industry Regulatory Authority (FINRA) has asked former Wells Fargo bank employees whose securities registrations were terminated to contact FINRA if they have concerns about the notice filed by Wells Fargo regarding their termination. Recent news reports have highlighted several former Wells Fargo bank employees who believe that they were terminated from the bank
FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors for Fixed-Income Securities
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.