Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more.
In observation of Independence Day, the ORF System will be closed on Tuesday, July 4, 2023. Please be advised that the ORF system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market Session
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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).
(a) For purposes of this Rule, the term "security future" shall have the definition specified in Section 3(a)(55) of the Exchange Act.
(b) Requirements
(1) General
(A) Applicability — This Rule shall be applicable to the trading of security futures.
(B) Subparagraph (15) shall apply only to security futures carried in securities accounts
Leveraged and inverse funds are an important part of an investment strategy. They can help to reduce risk as well as boost returns when combined with a balanced, diversified portfolio. Like all investment vehicles, they can be used improperly, but this fact should not be used to restrict trading or especially to limit them to high-income investors. It is not fair to give accredited investors such
Hi,
Investors should be able to choose the public
investments that fits my investment goal. I understand the risks and responsible for the consequences.
Public investments should be available to all of the public,
not having to pass a test. Its my own money at risk and shouldnt be restricted on when I can make the trade. I have no influence on the bigger market like the CEO of
I oppose you
Limit my investments FUNDS.
It poses a severe threat towards market fairness. It's like locking people in home because of Flu, but except rich people. Retail traders or investors should be able to freely choose whatever products that fit their trading strategies. Finance is NOT only for the rich or the privileged. We know what leveraged funds are. Also, the liquidity will
To Whom it May Concern,
I am totally opposed to the proposed regulations or any part of them that limit my ability as a small private investor to invest in Exchange Traded Funds. You are throwing away my primary ability to make money in the future. I do not understand your desire to regulate my ability to invest when there are many other investments that have equal or more risk. This is
Greetings, Not sure why FINRA has not come out with a report in the last three quarters, but the information it provides is completely valid and incredibly important to me as an individual investor. Also, I wish their was some working enforcement in place to discourage naked short selling and the unethical trade practices being used to manipulate a stocks true value.
