As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will be implemented in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced. Except for the timestamp changes listed below, all ORF trade reporting
Comments: As a retired Registered Investment Advisor of 38 years without a single complaint, I highly recommend you NOT change investor's access or ability to trade complex products, including and especially leveraged and inverse ETFs. Retail investor's net purchases of such leveraged ETFs have been rising steadily over the past few years, with the 10-day rolling sum recently exceeding
I have been trading leveraged ETFs for years. I understand the risks associated with them, as well as, all investment vehicles; leveraged or otherwise. Government imposed restrictions of these funds is not needed nor wanted. I should not have to go through any special process just to prove that I can use these products as a part of my investment strategy. Asking someone to prove they have enough
Good morning, It is my understanding that there are proposed restrictions on individuals using leveraged and inverse ETFs investment instruments. My use of ETFs offer me diversity, liquidity and income. The ETFs invest in a large number of stock which spread risk. The active ones also trade millions of shares per day which offer the ability to sell shares quickly and because of their volume the
Hello, I unequivocally reject the idea that the government needs to further regulate investments by inserting themselves in the decision making process about where and how I invest my money by requiring certain requirements be met prior to investing in a certain fund. This is an egregious abuse of power and contrary to a free market. Restricting leveraged and inverse fund availability to those
SUGGESTED ROUTING
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 16, 1995. On January 16, 1995, The Nasdaq Stock Market™ and the
Data Definitions for Bond Market Sentiment. Data fieldDefinitionAll SecurtitiesData on All TRACE eligible securities reported on the day and disseminated.Customer BuyData calculated on all trades reported to TRACE and disseminated where the reporting firmindicates it bought from a customer who is not a FINRA member firm. Customer SellData calculated on all trades reported to
On June 9, 2005 the Securities and Exchange Commission (SEC) issued its release adopting Regulation NMS. Regulation NMS established substantive rules designed to modernize and strengthen the regulatory structure of the United States equities market. View SEC's spotlight on Regulation NMS. In addition, the SEC approved amendments to NASD Rules that align them with Regulation NMS
Hello
I am an investor with over 25 years of investment experience. I should be able to buy/ trade any public investment that is available in the market place that fits my objectives. Institutions already have a lot of advanced capabilities thats not available to individuals like me. Leveraged and inverse ETFs are an effective way of hedging and reduce capital risk. I know the risk and benefits
This data provides market activity as of end of day for structured products, based on transactions reported to TRACE. Tables of aggregated price levels are organized by product type.This end-of-day service represents the full asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory
