Hello, I am a student who is interested in trading. PTD rules force me to use riskier trading products (futures/options/kalshi/etc) instead of buying selling equities. Most of my strategies surround the S&P but because I cant trade the S&P more than a couple times a week I am forced to used riskier products that fit my needs. Please change this rule!
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In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Friday, July 4, 2025.
In observance of Presidents' Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 19, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface specifications, FINRA
The Fractional Shares: Reporting and Order Handling 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.
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Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
Precious metals IRA frauds frequently target older workers and retirees because they typically have more money saved in their qualified retirement accounts than younger people. Before you consider rolling over your retirement plan to a gold or silver IRA, here are 10 questions you should ask.
While the day trading orule may have been intended to protect traders, it has become a significant barrier for smaller retail investors, exposing them to greater risks rather than providing true protection.1. Lower the Minimum Balance RequirementThe $25,000 minimum balance is prohibitive for many retail investors, effectively excluding them from the benefits of day trading and creating an uneven
FINRA has been made aware that users of the TRACE and ORF New Issue Form have reported that the main grid is not loading efficiently. FINRA is working to resolve this problem.
