Each member shall submit trade data specified in Rule 8211 in automated format as may be prescribed by FINRA from time to time with respect to any transaction or transactions involving non-exchange-listed securities as defined in the Rule 6400 Series that are the subject of a request for information made by FINRA. Pursuant to the Rule 9600 Series, FINRA may exempt a member from the requirement
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical, non-substantive changes to certain NASD rules previously approved by the Commission in SR-NASD-2006-055 that were amended by SR-NASD-2005-087, which became effective August 1, 2006.
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 26, 2021 (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
Please DO NOT alter present (as of May 3, 2022) regulations and/or rules regarding investing in leveraged and/or inverse funds.
This is a bad idea, more rules will not help anything. Messing with the free markets is what got us into this mess in the first place.
This is unfair rules the regulars are trying to enforce. What would their reason for this, they dont have the right to block consumer to buy and sale.
Effective March 15, 1999
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I think its a dumb rule. People take out margin and risk owing the brokerage. Levered funds remove that risk
1 The views and opinions made in this report are those of the authors and do not represent official views or policies of FINRA. This report does not express any official FINRA legal position and does not create any new regulatory requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any existing regulatory obligations. This report summarizes
THIS PROPED RULE IS OVER STEPPING AND OVER BEARING ! PLEASE TAKE A HOLD OF SOME ADULT COMMON SENSE ! JIM RECH
