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Legal Agreements
As you may be aware, FINRA has already begun the rollout of FINRA Gateway—your new front door to FINRA. This new platform is intended to streamline compliance functionality. Throughout the development process, we are working with our users within the industry to add value to their interaction with our systems. As a user of a FINRA system, we want to ensure you have an opportunity to provide your
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule in 1989:
January 2
New Year's Day (Observed)
July 4
Independence Day
February 20
Presidents' Day
September 4
Labor Day
March 24
Good Friday
November 23
In observance of Christmas and New Year’s Day, the TRACE system will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 Closed
Friday, January 1, 2021 Closed
See the table below for a schedule of modified hours for Thursday, December 24, 2020 (these hours also apply to BTDS/ATDS/SPDS). Thank you
The most fundamental ideology if the US Citizen experience is having the ability to have your own rags to riches story. It involves making your own way, picking yourself up by your bootstraps and a certain kind of grit. Really honestly what makes this any different than say a caste system? Modern day serfdom? Indentured servitude? I implore you to think long and hard about this. And I dont mean
Cryptocurrencies do not need regulation, as they are already transparently self regulated by the code that powers each blockchain. This code is publicly visible and transparent for all. They are also secure through cryptography, stronger than that which masks transactions and account information at traditional banks and brokerages. Furthermore, Bitcoin is the single best performing asset of the
I have traded stocks for over 35 years and one of the most important rights we have as investors is the ability to make our own decisions on what specific investment vehicles we choose to buy and sell. Regulators should not limit this ability for individuals and should instead focus on finding those individuals or corporations abusing the system. Anyone that is investing should do their own due
I like having the ability to invest in leveraged funds. I do not want this option taken away, or limited by some gate-keeper that gets to decide what I do with my money.
These are calculated risks I take and provides me choices for high growth.
I understand that we're trying to protect uninformed people, but you can't solve this by showing people pages of text before they trade
New members have been appointed to the Board of Directors of the non-profit FINRA Investor Education Foundation (FINRA Foundation), and Jonathan Sokobin has been named Chair, effective February 12, 2024.