Retail Investors in the U.S and around the world are becoming more aware of how the financial industry works. Regulatory notice 21-19 is critical restoration of trust/confidence and stability in the U.S. markets. All regulation changes regarding SI be effective immediately in all circumstance: short position, synthetic or otherwise. The cost of operations needed for applicable market members to
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
As previously announced, FINRA will enhance the aggregated reports and statistics for U.S. Treasury securities. The new implementation date for the enhancement is February 13, 2023. At that time the following enhancements will take place:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on February 14, 2023, for the week ending
TO: All NASD Members
The SEC Release of December 18, 1984
On December 18, 1984, the Securities and Exchange Commission issued Release No. 34-21583; File No. S7-787, entitled "Designation of National Market System Securities." This Release confirms the decision taken by the Commission at an open meeting on November 16, to approve the following additional criteria for the voluntary
In observation of the Thanksgiving holiday, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, November 23, 2023.Please be advised that the ADF will close early on Friday, November 24, 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
On January 31, 2003, the Securities and Exchange Commission (SEC) approved NASD's proposal to increase dissemination of price information and transparency in the corporate debt markets through TRACE. The proposal, when implemented, will increase dissemination and transparency for over 4,000 TRACE-eligible corporate debt securities.
Implementation will occur in two parts, starting with the
On July 14, 2008, FINRA announced in an updated version of the OATS Reporting Technical Specifications that a "Negotiated Trade Flag" was being added to both the New Order and Combined Order/Execution Reports to identify instances where a trade is completed as the result of a negotiation.
Dear SEC, From: Concerned Citizen Regulations are mainly out of reach. The old way of taxing is running out of runway, but with every innovation (Blockchain/Defi tech) comes some form of change. I believe we are undergoing radical change that will disperse wealth to the people. Isn't that the goal. Taxes and policy/regulation will for sure stifle American GDP in comparison to other countries
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
