Based on the information provided in your application, and conditioned upon Tradeweb Direct providing the items listed below, the staff has determined that Tradeweb Direct meets the specified criteria and hereby grants, pursuant to FINRA Rule 9610, Tradeweb Direct an exemption from the trade reporting obligation under FINRA Rule 6730, subject to the monthly transaction reporting obligation and remission of the transaction reporting fees based on the fee schedule set forth in Rule 7730(b)(1) for each exempted sell transaction occurring on the ATS.
Comments:Respected Officer, I would strongly urge you not to implement proposed rule for following reasons 1. FINRA should not restrict legitimate strategies from educated individual investors and provide only to few privileged. This is not promoting equal opportunity.
2. FINRA should limit itself for education and not arbitrarily decide knowledge and ability of individual investor
3.Introducing
I oppose the proposed rule that would restrict my ability to use public instruments in my investing. I have been using leveraged and inverse funds for about 20 years. I follow my investments quite closely and before starting to use these funds, I examined their pros and cons. Since then, I have come to the conclusion that leveraged funds are simply volatile instruments, of which there are many
Thank you for the proposed FINRA rule #22-08. It came to my attention when I saw an advertisement encouraging opposition to the bill from an obviously biased and hidden source (https://www.leteveryoneinvest.com). After brief research it seems to me to be a very valuable rule to keep small investors from gambling away their life's savings, and keep predatory firms from being able to trick
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
Unless otherwise provided, terms used in the Rule 1010 Series shall have the meaning as defined in Rule 0120.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member
Members may use the FINRA/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 6300B and 7200B Series, as well as all other applicable rules. The Rule&
Any decision issued under Rule 9750 or Rule 9760, as applicable, shall constitute final FINRA action. A person aggrieved by any final FINRA action issued pursuant to Rule 9750 or Rule 9760 may make application for review to the SEC in accordance with the Exchange Act.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 9790 and amended by SR-NASD-2007-052 eff. Aug.
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This version of the rule is effective for cases filed on or after Mar 04, 2024 through Mar 02, 2025.To view other versions open the versions tab on the right.(a) Applicability of RuleThis rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. All arbitrations administered under this rule will be decided on the pleadings and
SEC Approves New Requirements for Alternative Trading Systems
The DBAs and Communications with the Public section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
