New members have been appointed to the Board of Directors of the non-profit FINRA Investor Education Foundation (FINRA Foundation), and Jonathan Sokobin has been named Chair, effective February 12, 2024.
No naked shorts. More frequently posted information on short sales
I oppose having these types of funds being removed/further regulated. Each investor should be able to make their own informed decisions.
Regulators should limit their activities to preventing fraud and informing the public. Otherwise let people take responsibility for their own decision-making.
Limit insider trader of the members of the US CONGRESS,
So they are not competing against my trade without any insider information.
As a retail investor I believe the public has the right to make informed choices to invest in leveraged funds and not to have this ability restricted.
Rule Effective April 21, 1999
SUGGESTED ROUTING
Senior Management
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Continuing Education
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SUGGESTED ROUTING
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Executive Summary
In March 1998, the Securities and Exchange Commission (SEC) approved new National Associationof Securities Dealers, Inc. (NASD®) Rules
The Variable Annuities topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
