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Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
These rule changes are long overdue - public faith in equity markets represent a vital economic and strategic strength of the US and our position in global finance. There will be specific firms that lobby to oppose these rules for their own selfish near term purposes - but they are ultimately short sighted and against the public interest. Tens of millions of Americans rely on equity markets now
The hackathon is designed to provide technology staff with foundational security knowledge as well as the opportunity to practice mitigating security risks like broken access control, cross-site scripting, security misconfigurations, injection attacks and more. The planning team works with a vendor to create three cyber ranges to practice security hacking at beginner, intermediate and advanced levels.
Beginning Monday, May 19, 2025, FINRA will introduce the MOLD/UDP 64 protocol to the TRACE Securitized Products Data feeds – SPDS and SPDS-144A.TRACE data feed clients must adhere to the new protocol, new IP Addresses and feed changes by this date. FINRA has updated the SPDS and SPDS-144A specifications, IP address configurations and the MOLD/UDP 64
Kristin Chaffin partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design and leadership effectiveness.Before assuming her current role, Ms. Chaffin was head of FINRA’s Employee Relations, Investigations and HR Generalist team. She joined FINRA in June 2020 from Gallagher, a Fortune
December 17, 2004On November 24, 2004 NASDAQ issued a letter to ACES subscribers concerning translation issues in ACES that result in the routing and receiving firms reporting different OATS Routed Order IDs to OATS. NASDAQ's proposed short-term solution is for both routing and receiving firms to remove the spaces between the Branch and Sequence number when reporting the Routed Order ID to
I read with concern the notice from Ameritrade that there is pending regulation on my ability to self-direct my investments in my company's 401k plan into leverage ETF funds. For the life of me, I cannot think why this proposed restriction would be necessary. Self-directed investors are well aware of the risks involved with any sort of investment and should be free to take additional
To Whom This May Concern,
I have been investing for many years and manage my own retirement planning. I would like to be able to choose what investments I make. The government should not be trying to protect me from my own choices. Everyone should be able to participate in investing as they see fit and to their own risk tolerance level. I do not object to educational info on riskier
I have spent 50 years perfecting my investment process both personally and for clients. I managed to survive and flourish through 8-9 bear markets. I accomplish this by using the most broadest of diversifications including being able to sell short markets. Inverse etfs including leveraged ones are important tools to have in the tool box to accomplish this. they are convenient and in many ways
We already sign disclosures at brokerages warning us about the potential dangers of leveraged products. This is a huge slap in the face for retail investors and a ton of unnecessary road blocks for us that would separate us even further from institutional investors. The HUGE detrimental affect this would have on me would be insurmountable. I have leveraged ETF positions that are currently in the
