In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
I do not need regulators to protect me from myself, and I should continue to be allowed to invest the money I earn in publicly traded Leveraged and Inverse funds. These investment vehicles are already approved for trading by the SEC, and I already receive "warnings" about their potential risks when I chose to trade them. Requiring me to "prove" I am worthy to trade them is a
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third 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 December 17, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 16, 2021
It is Beech Hill Securities (BHS) opinion, that FINRA’s proposal to amend Rule 6730 to reduce TRACE reporting timelines to 1-minute will adversely affect the ability of small to mid-sized firms to participate in Fixed Income reportable securities. Given it is cost prohibitive, most small to mid-size firms do not utilize automated trade reporting systems (E.g., Bloomberg TOMS). Rule 6730 proposal
ACTION REQUIRED
Volume-Weighted Average Price Transactions
SUGGESTED ROUTING
KEY TOPICS
Capital Markets
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
Conflicts of Interest
Order Handling
Supervision
Executive Summary
NASD reminds members that when executing a volume-
I am often trading leveraged funds to earn profit myself. I would like to continue doing so. It would be extremely unfair to limit my personal ability to trade, while letting companies and institutions to profit. I would end making less money and most likely will not have enough to retire. Please, stop this nonsense - let individuals like myself trade what we want to trade.
To whom it may concern: Sir, I am an investors of leveraged etf and I am comfortable of trading. I know I can loss all my funds doing it. As as investor being not allowed to trade leveraged etf is not fair. People who trades leveraged fund knows the risk of this fund. So please do not let this happen even if I am a small investor, it is my privilege to be part of trading this leverage fund.
Low-priced securities are often known as “microcap stocks” or “penny stocks.” While these securities can be legitimate investments, they’re also high-risk and should be approached with caution by the average investor.
The rights of investors must be protected. It is the responsibility of the investor to educate himself as to what is a proper trading vehicle for the investor personally vis a vis financially. The brokerage firm in which I trade has transparency and risk disclosure for such short-term active trading. Direxion Leveraged and Inverse ETF Education Center is very good tool to guide the investor to
