FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 22, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 21
Hi,
I have been an active trader for the last 10 years and have used many trading tools, ranging from simple stocks to complex derivative strategies. Leveraged ETFs/instruments are excellent tools I use to hedge my trades and enhance performance. One of the main reasons these are excellent assets is their ease of access. While they carry more risk (clearly stated with every brokerage platform I
Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
If you have to safeguard investors then please look into SPACs. Leverage ETFs arent as bad as options trading. Cut off options trading first to keep the trading grounds fair.
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Leveraged funds should be allowed to continue. Allow for free market trade. Do not make this something only specialized traders can access. I do support education (not tedious, but useful teaching) before being allowed to trade these leveraged funds. Lastly, how do you stop allowing trading of these funds without financially harming those of us who hold what should be easily traded positions? Let
I worked on the trading floor of the Chicago Board of Trade from 1984 to 1992. I also was a Series 7 broker from 1992 on. Now you are saying that I cant trade ETF's??? What are you insane?
I'm writing to tell you that I do NOT want any restrictions placed on my ability to trade leveraged funds such as the TQQQs and SQQQs. I'm a young investor who has had great success using the volatility on these funds to grow my accounts. I've been able to pursue my dream of working as a professional musician due to the benefits of my trading income. I've been
"Restraint Of Trade" is any activity that prevents another party from conducting business as they normally would without such a restraint. Restraint Of Trade is rooted in English common law and codified under the Clayton Act and the Federal Trade Commission Act. Courts will readily find that the proposed FINRA Regulation #22-08 constitutes Restraint Of Trade and will readily
