FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T 220.8 and SEC Rule 15c3-3(m) and (n)margin extensions denied around holidays. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
News reports stating that FINRA has approved a security for trading, quoting or listing are wrong in virtually every respect. FINRA does not ever qualitatively evaluate or approve a security such as a stock. Instead, FINRA verifies a broker-dealer can demonstrate it has completed its required diligence to begin quoting.
The Liquidity Risk Management topic of the 2024 FINRA Annual Regulatory Oversight Report (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.
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
So you won't do your jobs and limit what MMs and hedge funds can do, but you want to regulate what retail investors can and cannot invest in?? The leveraged funds give everyday retail investors a vehicle to make a little bit more than picking individual stocks. For those of us that don't trade options, especially on individual stocks, the leveraged funds are a way to invest in whatever
I am opposed to Rule #22-08. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I should not have to demonstrate an net worth arbitrarily set nor be required to obtain broker permission to invest. I should not have to take a test to invest in public securities
I use these so-called "complex" products to hedge my longs in various accounts at certain times I judge market risk to be high. How am I supposed to hedge my IRA without leveraged/inverse products or options? Is there some reason FINRA doesn't want me to hedge against a possible decline in the value of my long holdings? I am a very experienced investor, I'm a big girl and I
Hello just a few concerns about sec proposed rule#57 I believe it should be my choice not regulators should be able to choose the public investments that are right forme and your family. Public investments should be available to all of the public, not just the privileged. I also believe I shouldn't have to go through any special process like passing a test before I can invest in public
Naked shorts are illegal. They have always found a way around all the SEC regulations and rules. Dark pools, sending stocks to OTC and other countries so the sec cant keep track. letting a human report is always going to lead to lies and illegal activities. the fines are chump change for them. Jail, losing the right to trade. They are children, and like children, you can tell them 15 times not to
