Adding these rules only hurts traders. Everyone starts somewhere and creating requirements hinders their learning process. You don't need to be a genius to use most of these instruments and these restrictions are an annoyance to even experienced investors.
I would like to choose my own investment strategies without being told how to invest. There is no reason to go through any process to trade something I have traded hundreds of times. Inverse funds and leveraged funds are part of investing and I do t need regulation on something that I completely understand already.
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).
The access and use of any information submission functions, content, materials, or services available on the Maintaining Qualifications Program (“MQP”) is conditioned upon the acceptance by you, without modification, of these terms of use, and the terms and conditions displayed at https://www.finra.org/terms-of-use are incorporated herein by reference (collectively, "Terms of Use").
THIS PAYMENT AGREEMENT (“AGREEMENT”) IS A LEGAL CONTRACT BETWEEN YOU AND THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (“FINRA”) AND SETS FORTH THE TERMS AND CONDITIONS GOVERNING THE PAYMENT OF ENROLLMENT FEES BY CREDIT CARD AND AUTOMATED CLEARING HOUSE (ACH). BY SELECTING THE "AGREE" CHECKBOX, YOU ACKNOWLEDGE THAT YOU ACCEPT THE TERMS OF THIS AGREEMENT.
The Maintaining
The FINRA.org website includes a “System Status” page that reports current system conditions for FINRA-based products and applications.
FINRA will continue to deliver direct emails and post technical notices regarding ADF, ORF, TRACE and TRAQS products; additionally, the System Status page will provide a general view of the current status of all FINRA systems.
FINRA encourages users to bookmark
On Tuesday, February 8, 2022, from 4 p.m. to 6:30 p.m. ET, the FINRA Test Facility (NTF) will be unavailable for testing FINRA Multi Product Platform (MPP) products.
This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Alternative Display Facility (ADF) platform, and the OTC Reporting Facility (ORF).
FINRA's production systems are unaffected by
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision) to include calendar year 2022
As a reminder, FINRA is introducing a new system for FINRA member firms to submit the FINRA Participation Agreement and manage TRAQS users. Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to complete these functions. The Participant Data Management entitlement was granted to all existing FINRA Participant Agreement and FINRA Order Form
Wednesday, March 30
All times are listed in Eastern Time
8:30 a.m. – 5:00 p.m. Registration and Cloud Computing & Cybersecurity Solutions Exhibitors
8:30 a.m. – 10:00 a.m. &
