To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
SummaryDay trading broadly refers to an overall trading strategy where a customer effects both buy and sell transactions in the same security in the same day to profit from movements in the price of the security. FINRA has had longstanding rules designed to limit the potential losses from day trading for both customers and members, and to ensure the risks of day trading are disclosed to customers
Three FINRA rules form a regulatory scheme addressing the supervision of firms and their associated persons.FINRA Rule 3110 (Supervision)FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.The rule details
This is completely ridiculous. If I have a brokerage account and read the disclosures on my broker's site, I know exactly what I'm doing and getting myself into. There is no need to babysit investors.
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
This data provides trade activity for up to 10 years for collateralized mortgage obligations (CMO) quanties under 1 million. A CMO is a type of mortgage-backed security in which mortgages are bundled together and sold as one investment. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Weekly and monthly reports for CMO quantities
In conjunction with World Investor Week 2024, the SEC’s Office of Investor Education and Advocacy (OIEA), FINRA and other industry regulators are issuing this Investor Bulletin to provide investors with information about the ways in which emerging technologies like AI and crypto assets, and digital platforms like social media and mobile trading apps, are increasingly influencing how people invest.
As an investor, I need to be able to choose to invest in Leveraged securities such as TQQQ and UPRO. There is considerable backtests in SeekingAlpha and other sites to prove that they are very effective for investors.Please do not remove TQQQ, UPRO etc
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the
1. Real-time TRACE Data (Vendor Agreement)
Firms wishing to subscribe to either the Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Services (ATDS), Securitized Products Dissemination Service (SPDS), and/or 144A Bond Trade Dissemination Services (144A) must complete and sign the TRACE Vendor Agreement. The executed Agreement should be submitted electronically to:
