TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
I not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. SQQQ is THE BEST WAY TO CONSERVE MY CAPITAL during a down market like the present market.
(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
Leveraged etfs allow users with less capital to grow their accounts in a way that would otherwise require them to to dip into risky techniques themselves (futures, options, margin, etc.). The descriptions of these investments are very clear that this kind of thing is happening behind the scenes.
Summary
FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Questions concerning this Notice should be directed to:
Chris Stone,
It is ridiculous to stop us from purchasing these types of securities. Every investor should have the right to invest in any products they deem worthy. That is why it is called capital risk. We all understand not every security is safe and we consider those risks.
This is completely unacceptable. If I as an investor decide to take a calculated risk based on my research, that is my decision to make. There shouldn't be any hindrances on how I invest my capital since I am assuming the risk. This rule effectively decides the investor's risk tolerance for them.
Member firms should be aware of an ongoing phishing campaign involving fraudulent emails targeting executives and purporting to be from FINRA employees, with the goal of harvesting credentials. As indicated by the full, expanded email address hidden under a masked email display name, these emails are not from FINRA, and firms should delete them and consider blocking the fraudulent domains.
Summary
In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
