NEW FOR 2023
Cybersecurity and Technology Governance
Anti-Money Laundering, Fraud and Sanctions
Manipulative Trading NEW FOR 2023
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This rule is no longer applicable.
The term "bond" includes debentures, notes, certificates of deposit for bonds, debentures or notes, and other securities of a type classified for trading as bonds by the Exchange.
Amended:
March 26, 1970.
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Inverse ETFs, commodity based ETFs and alternative investment ETFs like BITO provide a simple mechanism to diversiy and hedge the market for any investor.
It’s a valuable investment tool for any investor who does not have access to highly specialized brokerage accounts with margin account.
Usually, the brokerage warns the investor about the dangers of such investments before the trade goes
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are
It has come to my attention that FINRA issued a notice on 8 March 2022 regarding certain securities with simple inverse or leveraged price movements.
Designation of these products as complex securities is completely unwarranted as any complexities in the structuring of these securities is no more relevant to investor, that the structuring of any other ETF. The price action is not complex to
Dear FINRA,
Hi My name is William Alexander.
I just want to write to express my concern over the proposed limitations concerning the trading of leveraged funds in the stock market.
Im a nobody. I started work at a gas station at $7/hour 15 years ago. I literally had zero money in
savings, no car, a small apartment, and 35k in debt!
Did I bemoan my fate? Absolutely not! The great thing about
You would be limiting peoples ability to hedge long only investments (bonds & stocks).
Creates over inflated valuations if you limit us to long only investing.
For those of us who have inverse or leveraged ETFs, will you force us out of them, & if so, that would likely force us to unwind at levels we do not wish too.
Think back to when they halted trading in the short vix
