Remarks From Baruch College’s Financial Markets Conference
I trade shares of sqqq, main shares that I trade.
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
In observance of Martin Luther King Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 18, 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
I would truly resent my rights to trade using any vehicle I choose that is legal and can be traded by others, professional or retail. It is my responsibility to understand the risks of whatever I trade and do not need a big brother looking after me. If I loose $$ because I do not understand something, that is part of my tuition of education. I am a grown up and responsible for myself. Please, no
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the first quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 14, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 13, 2019
The Reporting Firm 10 Second Compliance Report Card are monthly status reports for market participant that contain counts of properly modified late trades, late trades that were not modified, and improperly modified trades.
Reporting Firm is defined as the firm that reported the Executing Party of the trade.
Member firms are required to report trades in accordance with established FINRA rules
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
SEC Rule 15c3-3
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to
advise member firms and other interested parties of certain
actions and issues relating to the
Please do not limit my ability to trade leveraged ETFs. I have made money on these trading tools in the past and if I cannot use them in the future I will not be severely limited in my time horizons for growing my investments. If you want to regulate these trading tools I would advise the regulators to require an online training certificate for new traders of these ETFs. Then the traders can
I am writing to request that leveraged and inverse finds remain open to average investors. These products do have their own risks and my broker places several warnings before I can make a trade in an inverse or leveraged product. These are meant for short term and day trading only and there are many warnings that they are not intended for long term and you can lose everything if you do. I think
