Comments: Please continue to allow me access to these products such as inverse EFT's. The companies providing them have given adequate information, and I further can look up information if needed. I understand they have additional risk, however I would like to take that risk for myself and should have to right to do so. Having these products to chose from helps me to balance my portfolio to
I personally (not Bloomberg, LP nor any of its affiliates) believe that this is a good thing. Anyone that has searched for 605 reports needs to traverse a series of websites to find this information. In addition can you please have the broker/dealers add a header row, or at least an off file guide to reading the data. A crib sheet is also needed to understand how to look at this information -
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Senior ManagementInstitutionalMunicipalTrading
Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
FINRA is a U.S. based self-regulatory organization. FINRA does not have offices outside of the United States or direct goods and services to non-U.S. residents. Despite this, interactions between EU residents and the FINRA Online Services may occur. As FINRA is committed to protecting the privacy and security of personal information this supplemental privacy policy (“SPE”) applies to those
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.
Arbitrator Training
Training Module
Arbitrators must complete the Expungement training course and pass the exam with a score of at least 80%. It is available on FINRA’s training platform.
Expungement Training (Module 16)
Enhanced Expungement Training - NEW
The Enhanced Expungement Training provides an overview of revisions to the Codes of Arbitration Procedure to
As a relative newcomer to investing short interest seems to be a very complex subject to understand the situation regarding a company's share price and its analysis. Simple, accurate and timely information would help make a more informed decision on where to invest hard earned money. As such I feel information reported should be equally simple. Number of short positions opened, number of
1. What is the URL for CRD?
FINRA recommends that FINRA-registered firms access CRD through the Firm Gateway. This site will allow you to access CRD as well as other FINRA applications. The Firm Gateway is located at https://firms.finra.org.
Board Re-Elects Chair, Re-Appoints Public Governors, and Approves Three Rulemaking Items
WASHINGTON—FINRA’s Board of Governors met on July 12-13 for the third time in 2023. During the meeting, the Board re-elected Eric Noll as Board Chair, re-appointed three public governors and approved three rulemaking items. The Board also continued its engagement with key stakeholders, hearing from
I do not think that the use of leveraged and inverse funds need to be regulated. Any investor who would choose these types of funds has a specific purpose in mind, either of limiting risk without having to sell off positions, or of potentially increasing dividends--for example, in retirement. These investments are not that difficult to understand and can play an important part in a moderately
