When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 2, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,766. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Dear FINRA Committee members, It is this commenter's genuine hope that short selling is banned as it serves counter-purpose to the two primary functions of the Stock Market, Capital Allotment, and Price Discovery. As such an act would likely remove the need for FINRA, and it is unjust to request this forum to consider self-destruction. Instead, this comment hopes to serve as a basic appeal
From 8:00 am until approximately 8:02 am EST FINRA encountered a system issue which delayed the start of trade reporting. Firms that submitted transactions during this timeframe that received a “Trading not allowed” reject message must resubmit their transactions if they have not already done so. The issue has since been resolved and ORF trade reporting is operating normally.
In mid-2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project.
FINRA has updated the following specifications in anticipation of this change:
ADF FIX Specifications for
The Portfolio Margin and Intraday Trading section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
Please do not restrict my ability to o invest in ProShares. they are a major corner stone to by future and my families future. Yes we understand the risk.
The Portfolio Margin and Intraday Trading section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Options trading carries risk and requires specific approval from an investor’s brokerage firm.
Quit screwing around with all these new taxes, it's pure [REDACTED], voters don't vote for those that tax the [REDACTED] out of them! Only a moron would vote for more regulations & taxes, & inflation, higher gas prices, what part of this can't any of you comprehend? Are you stoned or just stupid?
