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Legal & ComplianceOperationsSystemsTrading
Training
Executive Summary
On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 24, 2023 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
Activities requiring registration as an Equity Trader.
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
Normal
INFORMATIONAL
Municipal Securities Transaction Reporting
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KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Transactions
Inter-dealer Transactions
MSRB Rules G-12 And G-14
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (
As a trader of leveraged Funds I find them only as a short term trade to enhance portfolios. I find that they also are much less risky than many stocks on the market such as : OTC stocks , many Biotech stocks , also high flying stocks such as those in the ARK fund. These are just some examples of stocks that may be more dangerous to hold. Look at options those are what are dangerous. Some of
Regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, hence why theyre called public investments, not just the privileged. I am well aware of the risks of trading in the stock market and am more than capable of assessing the risk to reward ratio of using my own hard earned money to provide a
Dear FINRA,
I oppose restrictions on my rights to invest in public investments. As an investor I should have variety in choices of investments and not be limited by regulators or have to pass a test to be able to invest in a security. I understand leveraged and inverse funds and have been trading them since last year. Again, the leveraged and inverse funds help diversify my portfolio. Please
I strongly disagree with the attempt by FINRA to prevent or restrict investors from trading in leveraged and inverse funds. ProShare Advisors offers a variety of these types of funds which are critical in the management of my portfolio. We are perfectly capable of understanding these funds and the risks they may have. And, they are the best way to hedge a portfolio from certain events. We do not
