FINRA is currently experiencing TRAQS issues on some display screens for all products. FINRA will update clients as more details are available.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 15, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data
Transparency Services Legal Agreements
I am professionally qualified(with CFA and FRM certifications) with net worth over $2.5Million and have been trading leveraged ETFs for the past 3 years. My trading strategy requires me to trade such leveraged ETFs, without which I wouldn't know how to trade in the markets.
Therefore, I respectfully oppose any restrictions to my right to invest or trade in the leveraged ETFs.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, June 14, 2024, from 2 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting June 17, 2024.Please contact FINRA Product Management or call (866) 899-2107 with
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 14, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 13, 2022
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints
WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written
NO regulator should choose the public investment that are right for me. There should not be any special process to go through to trade leverage and inverse funds if i want to trade them. Leverage and inverse funds are a big part of my trading. I some time use it as a hedge fund. I understand all risk and trade responsable. I don't need a regulator to tell me how to trade them. Since i
