In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:
Monday, December 26, 2022 Closed
Monday, January 2, 2023 &
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning important organizational or operational changes, such as mergers with or acquisitions of other broker/dealers or the acquisition of a significant electronic data processing system
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury securities reported to TRACE for the prior week. The reports have been published since March 2020. On January 3, 2023, FINRA will enhance the reports as follows:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on January 4, 2023 for the week
As a retail investor it would be nice to see increased transparency from financial institutions. No more naked shorts, or at least increased naked short share exposure, decreased use of Dark Pool trading, required reporting from every institution on their positions (short and long) to organizations such as FINRA or Ortex etc, and forced coverage of FTDs when they are due. All of these are
I would like to see better enforcement of the short sale rule (SSR). There have been days where the SSR was triggered on AMC but then the next day I’ve seen multiple red candles following red candles and that goes to show that the SSR rule is not in fact being enforced because you can only short on upticks (green candles) and not continue shorting on downticks.
Hedge funds use techniques such as naked shorting, dark pools, and other questionable techniques to transfer money from retail investors to such funds. It is of the utmost importance that there is a level playing field thus that any type of short is logged, incuding which type of short it is, who is doing this etc. And to do this on a regular basis (daily?) so there is a more level playing field
FINRA 21-19 is a much needed change. It has become clear that the integrity of the United States market has been detrimentally impacted, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Dear FINRA, First, let me introduce myself. I am Nathan Ayotte, and I am an individual investor with personal goals of acquiring a large average annual compound rate of return each year. Personally, I have been investing in a particular triple-leveraged ETF fund based on the Nasdaq-100 (Ticker: TQQQ) for 4 years, provided by an asset management company called ProShares. The fund is a fantastic,
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
