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Disciplinary Action Corrections
The following corrections pertain to the August 1997 Notices to Members Disciplinary Actions section.
Page 428—Charles William Duquette (Registered Representative, Beaverton, Oregon) was suspended from January 6, 1996 to July 6, 1997. Lewis H. Aytes (Registered Representative, Medford, Oregon) was suspended from February 15, 1996 to August 15, 1997. The August
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, July 26, 2021. On this day, the
As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA will implement this change on Monday, March 11, 2024; previously it was scheduled for February 26, 2024. Clients may continue to test in NTF through Friday, March 8, 2024.NTF: Available through Friday, March 8,
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 government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
1. Do Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?
Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with Conflicts
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President, Market Regulation,
Comments:Please do not limit access to leveraged and inverse ETFs. These are great investment products which complement the portfolio. I think all that is necessary is a n advisory notice before trade execution for investors who lack in-depth understanding of the risks associated with seeking leveraged investment results, and who plan to actively monitor and manage their positions.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
NASD Notice to Members 95-16 (March 1995) and NYSE Information Memorandum 95-16 (April 1995) (collectively referred to as "95-16") were published to address issues concerning provisions in customer agreements and predispute arbitration clauses that appear to violate NASD and NYSE rules. The
(a) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other person who is served with a notice issued under the Rule 9550 Series and who timely requests a hearing or who is served with a petition instituting an expedited proceeding under Rule 9556(h). For purposes of this Rule, such
I have been trading Leveraged ETF's for several years and I know the risk. I have had stocks go to zero and ADR's disappear without notice. I feel that I have the right to trade what I want and it should not be regulated for certain individuals. Why is it OK for some and then not for others?
Please let me be the judge of what I want to trade