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
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
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
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:
To whom it may concern. I am on a site I hope is not true I have expanded with Entrepreneur Skills through out time I have me own personal studies and certification online and on hand experience. Ms Sanchez.
This letter is to oppose each and every one of the extensive restrictions being contemplated in Regulatory Notice 22-08. The proposed rule should be revoked. It is the latest open attack on the common man’s access to the new class of leveraged products, and in so doing, it is illegal.
The original attack came from the SEC in late 2019. That proposed rule, File No. S7-24-15, which limited
Short interest is a snapshot of the total open short positions on the books and records of brokerage firms on a given date. FINRA and U.S. exchange rules require that this information be reported twice a month. Short interest data does not—and is not intended to—equate to the short sale volume data on FINRA’s website.
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.
Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also
