(Total Views: 96)
Posted On: 01/29/2019 3:07:33 PM
Post# of 36566
Trump shut them down...no more FINRA...haha. Actually, they said IPO stocks would be hurt with a government shut down and that may happen again on 2/15/19. I would think FINRA is the authority since they set the rules (and rjs' link was new) and the SEC enforces the rules.
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TC, that is a good question. Who is the higher authority and who sets the standards? SEC or FINRA? I don't know. I would have thought it was the SEC but I'm not sure. I actually called FINRA a few days ago and left a message explaining the situation. They did not call back.
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Disclaimer: Of course, all of this is my opinion and you should not make any investment decisions based on my opinion. I have not received any non-public information.
