Comment Period Expires May 31, 1999
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SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
The FINRA/Nasdaq TRF1 experienced an issue today, Friday, December 1, 2023, from 8:00 a.m. ET through 9:23:22 a.m. ET. The FINRA/Nasdaq TRF was rejecting trade reports for a subset of firms, and the root cause was due to a misconfiguration on Nasdaq’s Post Trade Risk system. The configuration was an update to the Post Trade Risk system in preparation for ACT Risk Management service
You’re looking for a job in technology, and you’re given a choice between FINRA and a major technology company. Which would you choose? For me, it was easy, I chose FINRA, and I’ve never looked back.
Comment Period Expires: August 28, 1995
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Executive Summary
The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers.
On Oct. 16, 2024, the Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory - AA24-290A, which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms.
I invest in leveraged ETFs and have done so since at least 2015. I understand they are complex and, as a non-professional investor, I understand do not fully understand them. However, I do understand the single most important factor about leveraged ETFs: I am at risk of losing money (and at greater risk versus non-leveraged ETFs). That point is not complex and is not difficult to understand.
Request for Exemption from the Provisions of NASD Conduct Rule 2710
Mr. Chairman, Senator Thompson, Members of the Committee, thank you for this opportunity to testify.
