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
Comment Period Expires August 31, 1993
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Senior ManagementInstitutionalLegal & ComplianceSyndicateSystemsTrading
Executive Summary
As part of its ongoing efforts to ensure investor protection and enhance market quality, the NASD® Board of Governors, at its July 16, 1993 meeting, approved issuance of a Notice to Members soliciting comment on its action to
On Friday, April 28, 2017, Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in 271 OTC equity securities at 09:30:00 a.m. E.T. pursuant to FINRA Rule 6440(a)(3) (Extraordinary Event Halt). All impacted securities have been resumed as of 2:55:00 p.m. E.T. and systems are operating normally.
FINRA determined to impose the temporary halt because technical
Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
GUIDANCE
OATS Reporting Requirements
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KEY TOPICS
Internal Audit
Legal & Compliance
Operations
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Senior Management
Systems
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Training
OATS
Rules 6950–6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities
FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance.
Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
The Neutral Corner - Volume 3—2023
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Legal & ComplianceOperationsSystemsTrading
Training
Executive Summary
On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
