I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
I believe inverse and leveraged funds already carry appropriate warnings from both the market makers and brokers of these funds. The information is already out there with adequate risk analysis information.
INFORMATIONAL
Decimalization
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Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Nasdaq® has released its most recent decimalization testing schedule. The test schedules and necessary registration information are provided in
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 11, 2025. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 10,
Your brokerage firm issues a trade confirmation every time you buy or sell a security. When a single tap or keystroke can make the difference between 100 and 1,000 shares, it’s important to review this information carefully as soon as you receive a confirmation.
WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understanding (MOU) to address crypto activities that fall within their respective regulatory mandates.
ACTION REQUESTED
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
A review of the decimalization testing mandate and plans for Nasdaq® decimalization testing are included in this NASD Notice to Members. A select
Investments have many safeguards to prevent individuals from investing in products they don't understand. These range from a formal prospectus all the way to a (highly) informal google search (which will readily enumerate the risks involved in investing in leveraged ETFs. That information is easily accessible to anyone who might choose to invest in these products. As a result, regulating
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).
