FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
Beginning Monday, September 9, 2024, FINRA will introduce the MOLD.UDP 64 protocol to the TRACE Corporate and Agency Data feeds – ATDS, BTDS, and BTDS-144A.
(a) Terms used in this Rule shall have the same meaning as those defined in the FINRA By-Laws and rules unless otherwise specified herein.(b) "Direct participation program" or DPP, means a program which provides for flow-through tax consequences regardless of the structure of the legal entity or vehicle for distribution including, but not limited to, oil and gas programs, real estate
SR-FINRA-2007-042 - Proposed Rule Change to Amend Rule 12302 of the Customer Code and Rule 13302 of the Industry Code to Remove the Page Limit on Statements of Claim Filed through the Online Arbitration Claim Filing System
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As of January 21, 1999, the following bonds were added to the Fixed
I want to retain my right to choose public investments without having to pass a test or other special process. I am capable of understanding leveraged and inverse funds and their risks.
Please do not restrict my right to invest in public investments.
We would like to have the choice to invest in leveraged and inverse funds and ETFs, as they play an important role in my investment strategy. I am capable of understanding these unique products and associated risks, and do not need any special purpose tests.
I not regulators should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just a privileged few. I should not have to go through any process or test to invest in public securities.
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
Please be advised that leveraged and inverse funds are important to my investment strategies. I should not have to go through any special process or testing before I can invest. Public investments need to be available to all, not just the privileged. Thank you,
