SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The NASD® is publishing a direct participation program (DPP or limited partnership) directory in anticipation of the quotation of DPP securities on the OTC Bulletin Board® Service (OTCBB®) and the commencement of trade reporting of transactions in DPPs on May 15,
FINRA has rectified the TRAQS error clients observed this morning whereby a number of TRACE and ORF clients experienced problems submitting transactions to TRAQS.
TRAQS clients with questions regarding this issue should contact FINRA Market Operations at (866) 776-0800.
FINRA has observed a number of TRACE and ORF clients experiencing problems submitting transactions to TRAQS. Users are presented with an error related to the connection attempt.
FIX trade reporting is unaffected by this issue. FINRA is currently researching the problem and will provide an update when it is known.
TRAQS clients with questions regarding this issue should contact FINRA Market
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
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 15, 1996. On January 15, 1996, The Nasdaq Stock MarketSM
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystems
Executive Summary
The NASD urges members to take immediate action to ensure the accuracy and completeness of trading data submitted through the NASD's electronic blue sheet system in response to regulatory inquiries. The NASD has become concerned that the quality of submissions by members is not at
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
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
I strongly oppose these proposed restrictions on my right to buy and sell investments as I choose. Don't impede my ability to act with bureaucratic testing and trying to impose requirements with the general terminogy of "complex trades", cooling off periods, testing (really?), prove my net worth, training, etc. I shouldn't be required to tell you I'
I appreciate FINRA's concerns regarding investor protection. At the same time, I wholeheartedly disagree with FINRA's NtM 22-08 proposal to - "Require investors to pass a test to trade a complex product and potentially undergo re-testing from time to time to ensure the investors continued understanding." I've traded leveraged ETFs for many years and
I trade S&P500 / NASDAQ and I do not need any regulations on what I choose to invest in. These are public investments and should remain as such. I choose to invest in leveraged and inverse funds understanding the risks and benefits. While they don't complete my whole portfolio they play a vital role in my investments. I don't need measures imposed on me, tests,
