This data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date. Learn more about TBA securities and other bond types.
Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S
(a) Code or UPC Code
The term "Code" or "UPC Code" as used in the FINRA Rule 11000 Series shall mean the FINRA Rule 11000 Series.
(b) Committee
The term "Committee" as used in this Code, unless the context otherwise requires, shall mean the Uniform Practice Code (UPC) Committee delegated the authority to administer this Code by the Board of Governors.
(c)
(a) Under the terms of the business arrangement establishing the FINRA/NYSE Trade Reporting Facility, NYSE Market (DE), Inc. (“NYSE Market”), as the Business Member, has a non-exclusive, irrevocable, worldwide, perpetual, royalty-free right and license to use covered market data, consistent with all applicable laws, rules and regulations. NYSE Market, as the Business Member, has a contractual
Last summer, we introduced listeners to FINRA’s Crypto Hub, an enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. On this episode, we have three members of the hub join us to provide an update on that work to dig into the results of a recent survey of member firms regarding their crypto asset touch points to tell us about the new spot Bitcoin ETP market and more.
The ability to trade inverse ETFs (easier to capitalize on a downward market for novice trader) and utilize leverage helps to encourage market participation by people in all income brackets. To take away these options would be a stride towards exclusivity based on economic status and further separate already diverging income classes and political parties.
I have been investing in Leveraged and Inverse Funds for the last 8 years. I, not you, the regulators should choose how to invest my money. These Funds are very important to my investment strategy.
I should not have to go thru any special process like passing test before I can invest in publicly traded securities
I want to make my own decision regarding leveraged investments. If you take this away from investors you must stop margin trading also. I have been using leveraged investments for years and do not need any further training or tests. A simple warning like I received years ago is enough.
Exchange traded notes play a vital role in the democratization of the public markets. They provide retail investors with vehicles to gain access to asset classes otherwise not availible to them. These products are central to my investment strategy, and I believe the proposed regulations would restrict my rights as an investor. I respectfully ask regulators not to impose these restrictions.
It is absurd that companies would go through all the trouble of creating and publishing prospectus documents and abiding by all regulations only to have regulators deem them unsafe or unsuitable for investors. Please do not limit the my ability to trade. I want to make my own informed decisions and not have them made for me.
I strongly object to any FIRNA curbs on my ownership of "complex" public exchange traded Products, when the vendor has made adequate disclosure of the product's operation and risks. There are far more useful actions that FIRNA can take in other areas to protect investors, eg. SPACs, private equity marketing, etc.
