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(a) Form, Service, Notice
Pursuant to Rule 9133, each Respondent named in a complaint shall serve an answer to the complaint on all other Parties within 25 days after service of the complaint on such Respondent, and at the time of service shall file such answer with the Office of Hearing Officers pursuant to Rules 9135, 9136 and 9137. The Hearing Officer assigned to a disciplinary
FINRA has corrected the intermittent TRAQS stop sign error condition some clients were receiving on Monday when attempting to access the website.
Please contact FINRA Operations or call 866.776.0800 if you continue to experience issues or if there are questions regarding this notice.
Comment Period Expires: June 30, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their disclosure obligations when marketing mutual funds and other securities and requests comment on whether a rule should be adopted creating a requirement to disclose
The FINRA New Issue Form will be unavailable from 7 AM ET Saturday, March 27, 2021 until 7 PM ET Sunday, March 28, 2021, while the system undergoes scheduled maintenance.
Please contact FINRA Market Operations at 866-776-0800, Option 2 if you have questions regarding this notice.
FINRA will be applying infrastructure upgrades to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, October 5, 2019 from 7 a.m. to 5 p.m. ET. During this time these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
Summary
Effective February 27, 2023, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.90 per million dollars in transactions to a new rate of $8.00 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-
I want to relay my concerns about the referenced regulatory notice.
I do not believe any incremental regulatory requirements should be placed on leveraged investment instruments. I disagree with the notion of testing, thresholds, net worth requirements and so on. These are public instruments that should be made available to all. Firms selling these products are quite clear communicating the
This notice and action is extremely unamerican and unlawful. You are dictating how a person is able to make an income and by doing so you're in direct violation of the US Constitution as to where you cannot infringe upon a person's ability to make an income. I plan to have my legal counsel file a lawsuit against FINRA, if you take away my ability to trade proshares inverse
Leveraged ETF products have very clear notices to investors as it stands today. There is no confusion of the risks involved. Granted, it would be ill-advised for investors to use extensive margin while investing in leveraged ETFs, I still feel existing risks are clearly indicated and should be my choice.
Leveraged funds are an important part of my investment strategy when seeking enhanced
This regulatory notice goes against everything that the United States is founded upon. Freedom to pursue life, liberty, and pursuit of happiness as long as its no danger to others. What investment fund I choose to place my own hard working money in is my own choice. Even If I lose my money, it was my own adult autonomous decision I made to do so, no regulatory body should be able to restrict me