Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel
The Credit Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Revised Policy for Disseminating Reports of Fewer Than 100 Shares; Effective Date: April 21, 2008
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
Leveraged ETFs are a simpler way of safely leveraging up a portion your stock and bond allocation compared to a margin loan or pledged asset line. I am for the continued existence of 2X and 3X leveraged ETFs so I can set my own asset allocation.
SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2025 or the first quarter of 2026. FINRA reminds members that all such filings they submit to FINRA must be made electronically
The Trusted Contact Persons section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Dear FINRA, 5-6-22
I am a private investor who has been investing in the markets for the last 40 years, and have been successful using inverse funds, to include SH, PSQ, DOG to hedge against volatility, and frequent downturns in the markets. I do not think any regulator will be able to know more than I do about my own families personal financial situation. Passing a test first, seems
Please stop fighting critical assets and leverage for the smaller investors.
Big banks simply want more control and force people into underperforming assets like mutual funds. Please let the public invest how and when they want...
There is way to many restrictions for non accredited investors is it is!
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