Markets need to be free and available for all. Adding disclaimers is fine but disallowing or restricting to trade is not a good sign of free market economy.
The Reg BI and Form CRS topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
(a) An ADF Trading Center that wishes to withdraw quotations in a security, other than instances when an ADF Trading Center is unable to submit automated quotations to the ADF, shall contact ADF Operations to obtain excused withdrawal status prior to withdrawing its quotations. If an ADF Trading Center cannot submit automated quotations or is unable to immediately and automatically respond to
I'm a fiscally responsible trader. Preventing people from openly trading due to irresponsible gamblers only harms people like me.
What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members. Rules
Please do NOT restrict our right to buy, sell, or trade leveraged or inverse funds. These vehicles are important to maintaining liquidity and an orderly market.
Hello,
It is unAmerican and unfair to not let everyone trade leveraged & inverse funds in the capacity that they see fit. Please continue to allow this.
Thanks,
Lee
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 1, 1991, the SEC approved an NASD proposal to amend Schedule H to the NASD By-Laws to eliminate the current reporting thresholds of $10,000 or 50,000 shares so that the reporting requirements of Schedule
I oppose restrictions on my right to invest in public investments. I trade Proshares ETFs and would like to continue to. Please don't restrict me.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-1, which establishes three business days as the standard time period for settling transactions in most securities (T+3), is effective June 7,
