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I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect. I trade leveraged indexed ETF's over daily time horizons. I understand the risks intrinsic to leveraged indexed ETFs' implementation, and actively monitor my investments.
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect. I understand the risks associated with strategies using daily leveraged and inverse outcomes, and actively monitor and manage my investments. I do not seek long-term inverse returns.
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2023 or the first quarter of 2024.1 FINRA reminds members that all such filings they submit to FINRA must be made electronically
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Initiation by FINRA
(1) Issuance of Notice of Disqualification or Ineligibility
If FINRA staff has reason to
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
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of January 5, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter January 4, 2024 as
I strongly oppose such limitations on my investments! I am tired of all these radical attempts to further screw us over and hope we dont notice. You do not have our best interests in mind, so back off!
Summary
FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.1 FINRA has also amended its rules to require parties in proceedings before the Office of Hearing Officers (OHO) to file and serve the parties with their current email address and contact information at the time of
If Direxion is going to be penalized for creating more complicated investment ETFs.. Then I hope that the retail investor will have a fair way to exit these more complex investment vehicles.
This notice will automatically make it more difficult to utilize triple leveraged ETFs etc.
This is the final reminder for the TRACE Depository Institution Reporting requirement before this initiative commences.
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal