Based on the information provided in your application, and conditioned upon Tradeweb Direct providing the items listed below, the staff has determined that Tradeweb Direct meets the specified criteria and hereby grants, pursuant to FINRA Rule 9610, Tradeweb Direct an exemption from the trade reporting obligation under FINRA Rule 6730, subject to the monthly transaction reporting obligation and remission of the transaction reporting fees based on the fee schedule set forth in Rule 7730(b)(1) for each exempted sell transaction occurring on the ATS.
h4 {font-family:georgia;font-weight:bold;font-size:.9em}
May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year
Comments:I have used various leveraged etf in conjunction with my stocks and mutual funds for years. Im an individual investor with a regular job. Anyone investing in this category is responsible to do their own research regarding the risks and benefits on the direction website. There is short but effective information readily available pertaining to the nature of these levaraged investments. As
NASD Regulation, Inc. (NASD Regulation) has taken disciplinary actions against the following firms and individuals for violations of NASDRules; securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. Unless otherwise indicated, suspensions will begin with the opening of business on Monday, December 16, 1996. The information relating to matters
Exemptive relief is granted based on: the representation that at the time of the contribution the individual had no connection to the firm’s municipal securities business, and it was not contemplated that, at the time of the contribution, he would be promoted and, thus, become a municipal finance professional (as defined); the firm has significant and long standing business relationships with the government entity of which the contribution recipient was an issuer official; the firm has established additional compliance processes about political contributions; the individual will not be involved in any way in municipal securities business with the state or any other governmental issuer business for which the contribution recipient is an issuer official.
The Neutral Corner - Volume 2—2023
The Reg BI and Form CRS topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Dear FINRA,
I am hereby writing to object to the rule enhancement articulated on Regulatory Notice 22-08, which proposes a restriction on investors' ability to trade complex products and options.
I clearly understand your concern about investors making uninformed investment decisions on options and complex products specifically to leveraged or inverse exchange-traded products. However,
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
Hello - It has been brought to my attention that FINRA is considering taking action against "complex products" which include leveraged and inverse funds. Leveraged funds are important to my investment strategy. I use them as a limited part of my portfolio with the goal of seeking enhanced returns. It should be my option to choose which investments are right for me and my family. I'
