Dear Sirs- I have been successfully using leveraged ETF's that follow a multiple of either the S&P500, The Dow, and the NASDQ to bolster my investment portfolio, together with bell shaped conservative funds, using a diversified mix of funds. I am an aggressive investor. I have had success with a 10 or 15% mix of 2x and 3x bull market etf's. I have found the S&
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to July 20, 2020 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
I am a retail investor. I believe OTC options trades are a great systemic risk as they are not properly regulated. As FINRA is an SRO I believe it should be required that all OTC options chains be publicly disseminated in order for regulatory integrity and public trust to be maintained. In order to maintain competitiveness and not price smaller firms out of the market, FINRA should create a
Impact: All Firms
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain names “@finrarps.org” or “@finrarps.net”. The domains of “finrarps.org” and “finrarps.net” are not connected to FINRA, and firms should delete all emails originating from these domains. Member firms should be aware that they
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 24, 1993, the following 41 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,264:
Symbol
Company
Entry Date
SOES Execution Level
ACOM
A+ Communications, Inc.
8/25/93
1000
GBIZ
Grow Biz International, Inc.
8/25/93
1000
GWALY
Great Wall Electronic
BAN all OTC & HFT (dark pool and high frequency trading). Ban Citadel Connect, rehypothecation, and short selling like EVERY OTHER FIRST WORLD COUNTRY has so the United States financial system isn't looked at as a place to commit fraud. Take away licenses from people who break the laws. Citadel has over 58 infractions in the past decade and they're still allowed to do business?
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This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
Unless otherwise provided, terms used in the Rule 1010 Series shall have the meaning as defined in Rule 0120.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member
We need the rules to actually be enforced and market makers not able to use dark pools for anything other than non-predatory market making functions. Transparency and accountability are really the primary thing. Selling order books that show liquidation prices of individual investors is insider trading. Check every single futures chart and you will find impulse retracing liquidating people at
