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Pre-time stamping of order tickets in connection with block positioning is contrary to Rule 4511.
Adopted by SR-FINRA-2010-052 eff. Dec. 5, 2011.Selected Notice: 11-19.
A temporary certificate shall not be a good delivery when permanent certificates are available.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
All capital acquisition brokers are subject to FINRA Rules 2080 and 2081.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
Summary
The 2021 Renewal Program begins on November 16, 2020, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.
Firms should note the following key dates in the renewal process:
October 19, 2020 Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via CRD/IARD.
November 1, 2020
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
INFORMATIONAL
Riskless Principal Trade Reporting
Riskless Principal Trade-Reporting Rules Will Be Implemented On February 1, 2001
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualifications
Institutional
Legal & Compliance
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Senior Management
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Riskless Principal
Trade Reporting
Executive Summary
Regarding Regulatory Notice #22-08:
I am very much AGAINST the proposal to remove or restrict my access to tools that I use to maintain and enhance my financial security such as leveraged and inverse ETFs.
The fund families and brokerage houses themselves do a very good job of explaining the risks of these products. I have relied on these tools for years in conjunction with volatility-based
As an individual investor who has managed my own assets for decades, I protest any regulations which will inhibit my investment choices. You must be aware that the stock markets are manipulated from many directions--to the disadvantage of the individual investor. Thus the Buffet advice of just buy SPY and ride it out. However, some of us do notice and invest in trends with special
Ladies and Gentlemen,
As a retired RIA and portfolio manager who spent more than 25 years managing assets and advising private clients, I object to FINRA's Notice #22-08 proposing to limit access to leveraged and inverse ETFs. While there will always be a handful of novice and unsophisticated clients who may harm themselves by trading financial instruments they don't fully
I am an individual investor with approximately 40 years of investment experience. From time to time, based on market conditions, I have found it prudent to invest in leveraged and inverse exchange traded funds (ETFs). Now is such a time, and I currently have a small investment in such a fund. I want to be able to continue to make such investments as I see fit, based on my own knowledge and