The Financial Industry Regulatory Authority (FINRA) and the International Foundation of Employee Benefit Plans today launched a partnership to broadly disseminate two online resources to help companies and their older workers protect themselves from early retirement scams.
It is my opinion the markets should be as transparent and fair across all avenues. The lack of transparency and information tilts the scale away from the retail investor and in turn causes distrust towards further involvement. Short information should be required to be disclosed to accurately guage the status and balance of a trade, and to rule out any potential foul play or bad actors.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today launched two online resources to help companies and their older workers protect themselves from early retirement scams.
(a) If a party objects to producing any document or information requested under Rule 13506, it must specifically identify which document or requested information it is objecting to and why. Objections must be in writing, and must be served on all other parties. Parties must produce all applicable listed documents, or other requested documents or information not specified in the objection by
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of September 27, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter September 26,
A new question has been added to the Uniform Application for Securities Industry Registration or Transfer (Form U4) to identify Residential Supervisory Locations (RSLs) for purposes of complying with FINRA Rule 3110.19(d), as amended (RSL Question). Firms that have identified a location as a non-registered private residence are required to answer the RSL Question as either “Yes” or “No” by December 26, 2024. The previously announced October 15, 2024 date in Regulatory Notice 24-02 has been replaced by the December 26, 2024 deadline. Further information on Form U4’s new RSL Question and the related deadline is available in File No. SR-FINRA-2024-015 and in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
I do not think that the use of leveraged and inverse funds need to be regulated. Any investor who would choose these types of funds has a specific purpose in mind, either of limiting risk without having to sell off positions, or of potentially increasing dividends--for example, in retirement. These investments are not that difficult to understand and can play an important part in a moderately
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
In today's world we, the public, need alternative ways to invest. we do not need government interference to tell us what is good and bad for us. look at what government did with the virus, screwed up the world. If you want to control something do not let our legislative body have free access to information and then allow them to act on the information. what is good for thee is good for me.
1.) Limiting investment opportunities to those with high net worth is inherently un-American and is borderline predatory on those who would be excluded from making these investment plays.
2.) Leveraged and inverse funds are crucial to my short and long term investment strategies. Information and notices are provided with these, and should continue to be. Expanding information requirements is a
