FINRA has created this page to educate member firms on “Firm Identity Theft”.
I believe it would be a mistake to reduce access to these popular and useful short to medium term trading funds. There is more than enough information in the market web sites on how to use a x3 fund. Extreme risk lies only on a " black swan" event and these events pose similar risks to all investors. I believe that I have benefited from my use of x2 & x3 funds on the SP500. It
We want a greener America right? The best way to get there may be to make it easier for people to buy NRGD.
This is the Big Oil 3x Bear ETF. The Bull is NRGU.
NRGD is about $100/sh, but if the SEC were to allow fractional share purchases for all Americans of any income level, they could buy 1/100th of a share for $1.
Why is this important? Oil is going to peak and then it's going to
March 1999
Deadline For Completion Of Form BD-Y2K Is Near
The National Association of Securities Dealers, Inc. (NASD®) recently mailed a Form BD-Y2K package to each member firm for completion by April 30, 1999.
The recent amendments to Securities and Exchange Commission (SEC) Rule 17a-5 require all NASD members with minimum net capital requirements of $5,000 or greater as of March 15, 1999,
March 1999
Deadline For Completion Of Form BD-Y2K Is Near
The National Association of Securities Dealers, Inc. (NASD®) recently mailed a Form BD-Y2K package to each member firm for completion by April 30, 1999.
The recent amendments to Securities and Exchange Commission (SEC) Rule 17a-5 require all NASD members with minimum net capital requirements of $5,000 or greater as of March 15, 1999,
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
As announced in Regulatory Notice 19-21, FINRA is expanding the summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. This expansion includes:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS) on a one-month delayed basis; and
aggregate non-ATS volume for all firms by
Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its
This data provides trade activity for Asset-Backed Securities for up to ten years using end-of-day data. Access up to three rolling-years of real-time transaction data from the Trade History link on an individual security page. Published for non-commerical use.
Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black
As part of its multi-year Digital Experience Transformation, FINRA is using an API Developer Center (developer.finra.org) to support automation. The API Developer Center website includes information designed to assist clients interested in using API technology to gain access to OTC Transparency data. The available API endpoints provide a mechanism to retrieve this data using a machine-to-machine
