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In June 2009, FINRA issued Regulatory Notice 09-31 to remind firms of their sales practice obligations relating to leveraged and inverse exchange-traded funds (ETFs). At the same time, the Investment Industry Regulatory Organization of Canada (IIROC) issued guidance to the Canadian industry that is substantially similar to our Notice. In July we released a compliance podcast concerning the Notice
All, FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security
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. FINRA previously announced that this change will become effective on Monday
Hear how to navigate current developments in FINRA’s communications rules and industry marketing practices including mobile apps, social media, and other digital channels. Panelists answer questions on how to embrace the future of communications while remaining compliant.
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Wednesday, June 30, 2021 from 9 p.m. to 10 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
FINRA Regulatory Notice 22-08 will infringe on my right to protect my investments against periods of recession in ways that only very wealthy investors and large institutions can by using their power to irresponsibility short sell the market. this is leaving average Americans to burden of others poor decisions. leveraged and invests ETFS when used correctly after a great protective strategy
I am opposed to regulation #22-08.
I should be able to make my own decisions about my investments, not regulators. I can read & understand the notices that are provided when I choose an investment and should not be required to take a test to prove it.
I use inverse funds as well as other instruments and it will be detrimental to my portfolio if I am unable to use them.
I ask that
I am opposed to regulation #22-08.
I should be about to make my own decisions about my investments, not regulators. Nor should I be required to take tests to prove myself. I can read & understand the notices that are provided when I choose an investment. They are plenty sufficient.
Some of the funds that are planned to be limited, like inverse funds, are critical to my investment
I am opposed to regulation #22-08.
I should be about to make my own decisions about my investments, not regulators. I can read & understand the notices that are provided when I choose an investment and should not be required to take a test to prove it.
I use inverse funds as well as other instruments and it will be detrimental to my portfolio if I am unable to use them.
I ask that