Please do not further limit small investors' ability to trade leveraged and inverse funds. Especially in the turbulent market of the last three years, these funds have provided my small but growing IRA with both stability and enhanced returns. As a small investor, there is no other way I could do this.
I strongly oppose any rules to limit the trading of leveraged instruments. I use leveraged instruments all the time and I trust that anyone who uses them exercises common sense just the same they would when buying other volatile stocks like Tesla, Bitcoin etc. etc.
I should be able to choose the public investment that is right for me and my family. Public investment should not just for privileged few. FINRA interest shows private few to get benefit out of PUBLIC fund. I object the restrictions or any measure introduce by FINRA on publicly traded fund.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 20, 1986. On Monday, January 20, 1986, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
It is more than obvious that several agencies are not complying with the rules for naked shorts and FTD's. Retail investors should have the same real time information as hedge funds to include short interest and real time trading.
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
"Regular-Way" transactions made on Monday, October 10, Columbus Day and the days immediately preceding this day will be subject to the settlement date schedule listed below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other securities markets will be
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
Quality of Markets Violations
• ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B
• Backing Away
• Best Execution and Interpositioning
• Confirmation of Transactions (SEC
This data provides comprehensive information for asset-backed securities (ABSs) that traded within the past 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies.
This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
