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WASHINGTON – FINRA’s Board of Governors met on May 6 and 7 in New York City. During the meeting, the Board received updates on FINRA’s regulatory operations, including a status report on FINRA’s 529 plan self-reporting initiative and draft guidance around when Enforcement would grant firms credit for extraordinary cooperation during the enforcement process. That guidance will be published in a
Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies
WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety
This will negatively impact the trading capacity of younger, yet informed, traders such as myself.
I dont agree with the additional requirements. Information about the risks involved are sufficient
These enhancements/improvements are absolutely necessary. What's currently being allowed is borderline criminal, and without proper accountability, shareholders are being placed at excessive risk. The current regulatory conditions and enforcement are clearly insufficient, leaving investors/shareholders at higher risk, thus requiring better information in order to make decisions about the
Keep all the etfs and funds. Keep regulations, warnings and information as well.
the T2 system on short information needs to be T0 and live or at least updated hourly. FTD submissions should be daily on a T1 system. Large institutions have a huge advantage to see live market data and can act fast, swift, and often negatively affecting the retail investors experience with the stock market. Everyone should have equal opportunity to see live market action and data to make a
While appreciative of the gesture, there must be action behind it. We are in a new era of retail investing and the rules still favor the Goliath's of wall street. Complete transparency and equality in the reporting of data must be enforced. Retail should have the same access to information, data and tools that hedge funds and market makers have access to. More importantly, ACCOUNTABILITY for
News reports stating that FINRA has approved a security for trading, quoting or listing are wrong in virtually every respect. FINRA does not ever qualitatively evaluate or approve a security such as a stock. Instead, FINRA verifies a broker-dealer can demonstrate it has completed its required diligence to begin quoting.
Let me make my own informed decisions. I need more choices.