GUIDANCE
Credit Extension/Day Trading Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Day Trading
Margin Requirements
Regulation T
Rule 2520
Executive Summary
On March 11, 2004, NASD announced a disciplinary action that resulted in a $10 million fine against three
FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New
#1: As an American I take great offense to even more regulations on my ability to make intelligent investments, since a free citizen should be able to make or lose money on their own volition, not that of a Regulator . . . FYI the "motherly" $25,000 Trade Rule regulation cost me dearly at times in the past;
#2: My risk is less with leveraged ETFs as I invest much less than I am
I recieved an email today about proposed restrictions on inverse and leveraged funds. I want to express how these funds can be a valuable tool to retail investors
With so many changes in trading in the last few years. No fee and fractional shares. It has opened opportunity to people with less money to invest
For years i used a name brand broker buying their mutual funds and holding forever. I
Dear Regulatory Personnel(s),
First, thank you for taking the time to read through my concerns about the potential harmful changes that would strike at the core of small to mid-size investors. In our vastly changing world, the small-time investor is continually being squeezed out and further separated from the high wealth class, entities with super computers, and market manipulation. It&#
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
I write to you in strong opposition to the proposed rule changes to which this public comment refers. I understand and applaud FINRA's desire to protect consumers - however I must insist you find a different way to do it. Simply restricting my access as an individual investor to a broad range of investments doesn't serve to protect me - it serves to drive my investing into
Chairwoman Waters, Ranking Member McHenry and Members of the Committee:
Introduction
On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
(a) Reportable Transactions
Members shall comply with the Rule 7200B Series when reporting transactions to the System, including executions of less than one round lot. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will not be accepted by the System. Members must use an alternative
(a) Reportable TransactionsMembers shall comply with the Rule 7200A Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be
