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Please let investor select their own choice. Let investor know the product information and the included risks
Please let investor select their own choice. Let investor know the product information and the included risks
proposals are punitive to the investor .If there is no fraud what is the use of the restrictions .Information about the risk is all what is needed .
WHY IS IT OK FOR YOU TO GET INSIDER TRADING INFORMATION? NOT OK FOR US TO CHOSE OUR OWN INVESTMENTS?
I am against the vote as an informed investor it is my choice knowing the risks associated with these products, if I want o invest or not.
I would like to comment on two particular components of 21-19. -"It is possible that the public dissemination of more granular data could discourage short-selling activity, which is an important mechanism for both efficient pricing and for liquidity provision. We also request comment on potential negative outcomes of making this information publicly available on an aggregated basis." -
Join us during this webinar series as we discuss topics related to disclosure reporting. These sessions are designed for compliance professionals who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives.
Session-specific webinar details will be provided below as future dates in the series are announced. Recordings of previous
In observance of Presidents' Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 19, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface specifications, FINRA may send
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section
SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for options