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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
LETFs are indeed complex investment instruments but I believe current disclosure requirements are more than sufficient for investors to remain informed about the products they are buying. Limiting the purchase of LETF products to accredited investors or requiring financial literacy tests to purchase only puts unnecessary roadblocks in place that are easily circumvented.