Comments: Dear FINRA, I have been investing in stocks and options for over 30 years and have used leveraged or inverse products for the last 20 years. The proposed regulations and or guardrails for what you call complex products would undoubtedly disrupt the existence of these products and future development of these products. L&I ETF's have given me the opportunity to
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Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 17a-4 Records to be preserved by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
Pursuant to FINRA Rule 6191(b)(4)(B), FINRA publishes aggregated Market Maker Profitability data on a monthly basis at no charge. FINRA does not identify the market makers that generated the data or the individual securities.
FINRA aggregates and publishes the following data categorized by Control Group and each Test Group:
market maker profitability statistics for market makers for
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury has finalized amendments to the implementing regulations of the Bank Secrecy Act. Also known as the "Currency and Foreign Transactions Reporting Act of 1970," these regulations govern the financial recordkeeping and reporting of currency and foreign transactions. The amendments, which
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Having testing standards for investments such as these is overreach to individual's rights to do as they see with their money. FINRA should consider doing EVERYTHING possible to make it easier for everyone TO invest, and not work to limit options or create testing strategies for participation. Ultimately - that provides less equality - and not more.
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Executive Summary
The National
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 17, 1988, the following seven issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,945:
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REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
