Invest in what you know. It’s a common investing adage, and employees might think they know their employer better than anyone else. But should you invest in your company’s stock? Owning a stake in the company you work for might have some advantages. However, there are risks you should consider.
Net Capital
Liquidity Risk Management
Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
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Restrictions on who can trade leveraged funds is not a good solution. Retail investors deserve to have the same access to the markets as professional investors. Personally, I made alot of money in 2021 and lost most of it in 2022 in leveraged trading...and , while nobody wants to lose money, I am completely ok with it because I got to choose when to buy and when to sell... it's freedom
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSystemsTrading
Executive Summary
In July, the NASD Board of Governors solicited member comment on eliminating a safe harbor for members trading ahead of customer limit orders. After reviewing comments received from members and others, the Board has taken action to eliminate the disclosure safe harbor and to
Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to perform the following functions for the TRACE, ORF and ADF facilities:
Submit, view, and amend the FINRA Participation Agreement;
View and modify access to the FINRA trade reporting facilities including, TRACE, ORF and ADF;
View, add, modify, and delete various agreements including the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt rules relating to the establishment of a second Trade Reporting Facility or “TRF” to be operated in conjunction with Nasdaq, Inc. (“Nasdaq”). The second FINRA/Nasdaq Trade Reporting Facility (“FINRA/Nasdaq TRF Chicago”) would provide
On Monday, October 17, 2022, FINRA will conduct a Market Wide Circuit Breaker (MWCB) event in the Test Facility (NTF) for the OTC Reporting Facility (ORF). The MWCB will start at approximately 3 p.m. ET and run for five minutes. During this time ORF trade attempts will be rejected. The system will resume normal operations after the conclusion of the NTF MWCB event.
Please contact FINRA Product
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that their participation in certain transactions with blind-pool companies may be inconsistent with the provisions of Schedule E to the NASD By-Laws. The merger or acquisition of an NASD
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted to FINRA must be made electronically
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