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I do not need the restrictions that would be imposed by Notice #22-08.
I am fully capable of understanding the risks in acquiring inverse and leveraged funds.
By limiting access to these funds you are favoring the privileged who have a high net worth, and excluding investors that don't meet some arbitrary net worth.
I am a smaller investor and have utilized inverse funds several times
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EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Section 59 of the NASD's Uniform Practice Code to provide for the automation of the NASD's buy-in procedures.
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
Clarification Of Notice To Members 96-60
NASD Regulation Inc. (NASD RegulationSM) is issuing this FYI to clar the staff's regulatory intent and purpose in issuing NASD Notice to Members 96-60 (Notice). This FYI describes the substance of advice that the staff has provided in response to individual written inquiries pertaining to the Notice. That Notice was published to clarify member's
(a) Notice of Suspension of Member, Person Associated with a Member or Person Subject to FINRA's Jurisdiction if Corrective Action is Not Taken
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the FINRA By-Laws or FINRA rules,
May 9, 2022 Jennifer Piorko Mitchell, JD, MBA Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 Re: FINRA Regulatory Notice 22-08 Dear Ms. Mitchell: Thank you for giving the public an opportunity to comment on the Regulatory Notice 22-08. I am a professor of accounting at the Johns Hopkins Carey Business School. I oppose the rules proposed in Notice 22-08. These rules
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
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 Trade
In accordance with its regulatory responsibilities pursuant to Regulation NMS, FINRA is issuing a pre-quotation notice1 to advise that the IntelligentCross ATS (MPID: INCR) intends to become an active quoting participant on FINRA’s Alternative Display Facility (ADF).
Pending Securities and Exchange Commission (SEC) approval, IntelligentCross ATS intends to begin quoting both CTA and UTP listed
(a) Notice of Suspension, Cancellation or Bar(1) If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with a temporary or permanent cease and desist order issued under the Rule 9200, 9300 or 9800 Series, FINRA staff, after receiving written authorization from FINRA's Chief Executive Officer or such other senior officer as the Chief