(a) If a participant of a registered clearing agency has a fail to deliver position at a registered clearing agency in a non-reporting threshold security for 13 consecutive settlement days, the participant shall immediately thereafter close out the fail to deliver position by purchasing securities of like kind and quantity.
(1) Provided, however, if a participant of a registered clearing
Pursuant to applicable trade reporting rules, members must indicate on trade reports submitted to FINRA whether a transaction is a short sale transaction ("short sale reporting requirements"). The short sale reporting requirements apply to transactions in all OTC Equity Securities, as defined in Rule 6420. Thus, all short sale transactions in these securities reported to FINRA must
I'd suggest not limiting access to these products, but rather increasing the education requirements and understanding of these products. The risks of the products should be spelled out plainly, not lost in some lengthy document that none of the investors are reading. In big bold letters and a concise one page document, all of the risks are summarized and distributed regularly to
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST
Ive already accepted the risk if using leveraged ETFs, please dont take away these options for how I invest my private money
Please do not take away my ability to use leveraged pro shares instruments. I use these occasionally in my overall investment strategy.
Do not take away my ability to use leveraged pro shares products. I do use this products from time to time in my overall investment strategy.
Ruling of the Committee:
Where securities are physically separate instruments, transferable independently of one another, and not subject to any legal or technical condition which requires that they be kept together, good practice requires that they be quoted and dealt in separately and not as units. Where, for some special reason, members enter into a contract calling for a group of securities
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