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A person who is subject to the jurisdiction of FINRA shall testify under oath or affirmation. The oath or affirmation shall be administered by a court reporter or a notary public.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.Selected Notice: 08-57.
The charges for the month of commencement or termination of service will be prorated based on the number of trade days in that month.
Amended by SR-FINRA-2013-053 eff. Feb. 3, 2014.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2002-97 eff. July 29, 2002.Selected Notice: 08-57.
All rulings and determinations of the panel must be made by a majority of the arbitrators, unless the parties agree, or the Code or applicable law provides, otherwise.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
The Director may exercise discretionary authority and make any decision that is consistent with the purposes of the Code to facilitate the appointment of arbitrators and the resolution of arbitrations.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
FINRA plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023.
Currently, FIX Tag 60 (Transact Time) timestamps support up to microsecond precision (Format: YYYYMMDD-HH:MM:SS.sss.mmm); however FIX acknowledgement messages consist of only millisecond precision (Format: YYYYMMDD-HH:MM:SS.sss). The TRACE for Treasury Securities FIX Specification includes the
These restrictions intended to be imposed are not appropriate. The Market is an inherent risk and a free space for those to invest. I have made good and poor investment decision with their own outcomes that have played out well or been not so great. And even in the midst of regrets of the the poor circumstances - I would not have wanted any other way then to have learned from those decisions and
Retail investors are already severely limited in our investment options both via long only accounts and by a lack of access to alternative investments available to accredited investors. I oppose any and all limitations on my ability to utilize leveraged / inverse funds to meet my investment objectives. These tools are vital in my personal risk management and provide the opportunity for
NO more regulation! Investors in the markets need to have any tool available. Currently and in the past I have used in an inverse exchange product to protect my investments....and it is badly needed.
As an investor, I should be free to use what ever tools I may need without regulation of any kind. I should not have to go through any process to invest as I see fit. People who invest without these
Dear FINRA,
I'm writing to express my opposition to regulations proposed in Regulatory Notice 22-08. I'm against any restrictions on trading leveraged or inverse ETFs. As an investor, I should be able to choose which investments are right for myself. Public investments should be available to everyone, not just the privileged. I am capable of understanding these funds, and should
(a) Normal Ex-Interest DatesAll transactions, except "cash" transactions, in bonds or similar evidences of indebtedness which are traded "flat" shall be "ex-interest" as prescribed by the following provisions:(1) On the record date if the record date falls on a business day.(2) On the first business day preceding the record date if the record date falls on a day