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FINRA 21-19 is a long overdue change. The market is a nonsensical mess as a result of the outdated "regulations" and lack of proper enforcement. You've encouraged a system that promotes Loopholes. Regulatory Notice 21-19 NEEDS to be sweeping across all aspects of reporting and closing and holding and marrying or whatever other terms or strategy's relate to Shorts and Reporting
Sec. 3. A determination of members of record entitled to notice of or to vote at a meeting of members shall apply to any adjournment of the meeting; provided, however, that the Board may fix a new record date for the adjourned meeting.
Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.
All capital acquisition brokers are subject to NASD Rule 1090.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
Regarding Regulatory Notice 22-08, I am submitting my comments opposed to this proposed regulation. Limiting access to inverse and leveraged ETFs is unnecessary and only reinforces public opinion that the 'system is rigged' against the retail investor.
I have used these ETFs for short-term positions and have found the disclosures and warnings about these issues to be clear
I lodge my comment on FINRA Regulatory Notice #22-08 opposing the proposed action by FINRA. Investors have legitimate risk management reasons for investing in leveraged and inverse funds as part of their retirement or other plans. Personally, I use these funds to mitigate the risk in my bond portfolios to interest rate increases that negatively impact these fixed income valuations. I understand
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 10, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 6, 2023 as
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EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Article III, Section 26 of the NASD Rules of Fair Practice that requires members selling investment company shares to disclose the existence of
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. Testing your current TRACE for Treasuries processes and trade report validations are strongly recommended.
SummaryLow-priced securities1 tend to be volatile and trade in low volumes. It may be difficult to find accurate information about them. There is a long history of bad actors exploiting these features to engage in fraudulent manipulations of low-priced securities. Frequently, these actors take advantage of trends and major events—such as the growth in cannabis-related businesses or the ongoing
Summary
Member firms are required to make reasonable efforts to obtain the name of and contact information for a trusted contact for a non-institutional customer’s account. This Notice summarizes member firms’ regulatory obligations, discusses the benefits of trusted contacts in administering customers’ accounts, highlights customer education resources and shares effective practices member firms