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FINRA client connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF) are routed through Nasdaq, which acts as FINRA's service provider.
Retail trader here I believe FINRA 21-19 is long over due the integrity of the United States market depends on it and here's why. The policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they leave significant specific gaps that could compromise the entirety of 21-19's purpose. It is important for the restoration of both the
WASHINGTON and SYDNEY - The Australian Securities and Investments Commission (ASIC) and the Financial Industry Regulatory Authority (FINRA) entered into a Memorandum of Understanding (MOU) today to promote and support greater cooperation between the two regulators.
This Father's Day, show Dad that when it comes to saving for the future, and keeping your finances in check, you've got it covered.
These proposal are an insult to humanity. The hubris is disgusting. People who think they know better than anyone should be locked away. To limit the public's ability to invest in these funds is to further RIG the game against the public. Unelected bureaucrats doing the bidding of special interests. All this that these LOSERS, bc that is what these special interests are, can no longer beat
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
Warning: Rule #22-08 is currently the subject of a deceptive advertising attack. Let's play "which of these is not like the others": * Target Date Funds * Funds using cryptocurrency futures * Reverse Convertible Notes * Volatility-Linked Funds The answer is "Target Date Funds". I don't use this, I don't intend to use this; but it's an old tool that's
(a) Any Trade Reporting Facility Participant that is required to obtain, or otherwise wishes to use, more than one Market Participant Symbol ("MPID") for purposes of reporting trades to a Trade Reporting Facility must submit a written request, in the form required by FINRA, to, and obtain approval from, FINRA Market Operations for such additional MPID(s).
(b) A Trade Reporting
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD Rules of Fair
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System