Revise cybersecurity deficiency fines and penalties program. Applying both monetary fines and remedial actions deplete capital available for infrastructure improvements. Instead, negotiate remedial action plan and cost allocations for dedicated investment in their cybersecurity program along with accountability. The fine money has been counterproductive to firms directly improving their firm and
TRACE Fact Book
The TRACE Fact Book—based on aggregated data as entered into TRACE—is intended to give a historical perspective of the over-the-counter (OTC) U.S. corporate bond, agency debenture, asset-backed and mortgage backed security markets.
Independent Academic Studies
Scholars have published several papers that evaluate TRACE's impact on liquidity, valuation and other aspects of
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of October 12, 1989, the following nine issues joined the NASDAQ National Market, bringing the total number of issues to 2,718
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 17, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,076:
Symbol*
Company
Location
BCKY
Summary
This Notice addresses the characteristics of Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to Minors Act (UGMA) accounts (collectively referred to herein as “UTMA/UGMA Accounts”) and the responsibilities of member firms to supervise UTMA/UGMA Accounts.
Questions regarding this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel,
Dear FINRA, I come from the industry, although now retired, and am an active trader using leveraged products. I agree with you that anyone using these products should be able to demonstrate sophistication and an understanding of the underlying optionality and risks. (In cases of trading discretion, the person with trading discretion over the client's, or family member's,
To whom it may concern,
I do not believe in setting "restrictions" for extra risky assets (like triple-leveraged ETFs) in lieu of simple education on those assets. We're all adults, we should be allowed to use our money the way we want to PROVIDED we are fully aware of the circumstances. If the investor is unaware of the differences between a x3 ETF and a normal index
Do not further restrict normal investor access to specialized etfs and funds. We are already cut off from daytrading unless we have 25k in assets and have limited access to online funds requiring accredited investor status (200k income, 1 mil in assets) if you further restrict access to products such as etfs that provide access to commodity, cryptocurrency, and leveraged equity or currency
We do not need FINRA telling us what is safe or unsafe. Directly to my point. THE FEDERAL RESERVE UNITED STATES DOLLAR, FIVE DOLLAR, TEN DOLLAR, TWENTY DOLLAR, FIFTY DOLLAR, and HUNDRED DOLLAR are all COMPLEX INVESTMENT INSTRUMENTS in so much as THEIR VALUE IS NOT SET AGAINST ANY SECURE ASSET (gold/silver AS STATED IN THE CONSTITUTION) IT LOSES VALUE EVERY DAY DUE TO OVER PRINTING AND INFLATION
