Beginning Monday, July 24, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps). FINRA will offer testing for the new bandwidth rate and will announce details for the test as the date approaches.
TDDS 2.1 subscribers are encouraged to plan to ensure their systems
FINRA is alerting consumers of its OTC Transparency Data to some recent changes related to the FINRA API platform.
OAuth2 Authentication:
In order to improve security, FINRA is transitioning to OAuth2 authentication. As such, the API platform will only support OAuth2 authentication starting June 1, 2022.
After May 31, 2022 the FINRA API platform will no longer support Basic
When used in the Capital Acquisition Broker Rules, unless the context otherwise requires:
(a) "Associated person of a capital acquisition broker" or "person associated with a capital acquisition broker"
The term "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" means: (1) a natural person
By Greg Ruppert, Executive Vice President, Member Supervision and Jonathan Sokobin, Executive Vice President, Chief Economist and Head of the Office of Regulatory Economics and Market AnalysisFINRA proposed in 2023 to create a voluntary, three-year Remote Inspections Pilot Program to evaluate the impact and efficacy of the remote inspection of branches and offices by member firms. The idea for
Summary
FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software
Look, most folks already have an investment advisor. I expect HER to know whatever regulations you folks are planning to add to the process of buying investment products. Furthermore, your idea for additional regulation sounds to me just like a LITERACY TEST FOR VOTERS. So here's the deal... I'll buy your "additional investing regulations" just as soon as we
I am fully aware of risks and benefits associated with leveraged ETFs. I have made a conscious decision investing in these funds which has helped me achieve my retirement goals sooner. I work for University of Southern California who has not been able to help me in retirement saving. I achieved in a short period of time what university's retirement fund specialists were planning in 20
Regulators should stay out of choosing what types of publicly traded investments are right for market participants.
Public investments should be available to all market participants, not those deemed "worthy" by regulators.
No one should have to take a test in order to trade a leveraged or inverse ETF.
Leveraged and inverse funds are important for portfolio strategy,
I want to voice my opposition to any restriction to my current ability to purchase leveraged and/or inverse funds as they are an important component of my investing strategy, especially in my wife's and my deferred compensation plans that limit investment purchases to mutual funds. As retirees, we use these funds help protect/hedge our investments by providing opportunities for enhanced
To Whom It may concern:
I have successfully been investing in ProShares leveraged funds since 2012, over 10 years. Investing in the leveraged funds has enabled me to achieve an above average annual return. The wealth generated from these investments has largely been in a tax deffered Profit Sharing Plan and an IRA.
They provide me with a greater sense of mental well being, which carries over
