Frequently asked questions related to OATS reporting requirements to OTC equity securities.
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6732 to provide FINRA with authority to, subject to conditions, exempt transactions by a member alternative trading system (“ATS”) that meet specified criteria from the transaction reporting obligations of FINRA Rule 6730 (
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
1. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), what is the format of the LTID and the optional suffix?
2. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), how should Unidentified Large Traders be designated?
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Please do not impose new restrictions on trading leveraged funds that will effect our ability to continue trading the way we are now. For many people like myself and my family, leveraged funds are a very important part of our investment strategy. We do not feel that it is right to be restricted from trading them simply because we do not have a license, passed a test, or have a particular net
I am a financial professional. I used to work for market dealer and I was not allowed to trade options. Leveraged ETFs gave me the opportunity to get some leverage and get a piece of the returns reserved only for big players like Hedge funds and Investment banks. I started trading options after I left the broker dealer. I was fully educated and knowledgeable of how to manage risk. Good market
Currently, FINRA API users wishing to get access for TRACE, ADF, ORF, and TRF Reference Data are required to download a digital certificate and present verified user id and password credentials to access the API. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the API.FINRA will replace digital certificates with
I am a disabled individual who has managed to support myself and my daughter for the last 5 years by trading stocks. During that time my net worth has never exceeded $150,000. THIS WOULD NOT HAVE BEEN POSSIBLE WITHOUT TRADING LEVERAGED ETFs ! My brokerage (Fidelity) Required that I read and acknowledge a very stringent warning about the risks before allowing me to trade these securities, and
