You should let the investors decide for themselves. It is enough to have the knowledge of the way the investment works rather than just saying no to a particular investment.
Allowing people not to invest how they choose fit, would be a legal act in the USA. Any type of market should be open to the public to prevent corruption And monopolizing!
It's my money I am investing. Not yours. Why do you have a say in what I invest in? How is this protecting me? I understand all risk involved.
I would like more frequent updates and more transparency of the data surrounding short positions in the US financial market.
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 18, 1984, 50 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,185. These issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports, Priorities Letters and Reports on FINRA’s Examination and Risk Monitoring Program, to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.Assessment of
Firm Failed to File Nearly 1,500 Suspicious Activity ReportsWASHINGTON—FINRA announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6 million for failing to establish and implement policies, procedures, and internal controls reasonably designed to cause the reporting of suspicious transactions as required by the Bank Secrecy Act. In particular, Merrill Lynch failed
