INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and Exchange Commission
TO: All NASD Members and Other Interested Persons
SUMMARY
The NASD Board of Governors believes it is necessary to clarify its policy with respect to trading in stock and index options by members or persons associated with a member while in possession of material, non-public market information concerning imminent transactions of block size. Under certain circumstances, this type of activity,
Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter
Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. The Report combines and replaces two previously published annual
I oppose restrictions on my rights to invest. And I should not have to pass a test just simplify the information for everyone to make better choices for investment
Risks we take are our decision. Do not take away the ability of informed but non accredited investors to utilize the same tools as the wealthy.
I do not agree with FINRA's proposed limitations on restricting MY access to leveraged and inverse funds. I am not an accredited investor, but I spend a lot of time studying and learning about market behavior, which has provided me with great insight given my employment in the finance industry. I receive precautionary information from the funds and from my brokerage constantly. I feel as
To whom it may concern,
I am very surprised to hear FINRA is considering restricting investors ability to trade leveraged and inverse funds.
I believe an American investor should have the right to choose how they wish to invest their money. It is helpful that brokerage firms provide information explaining the details and/or risks associated. I am capable of understanding leveraged and inverse
Washington, DC - Monday, March 1 marks a major expansion of the Financial Industry Regulatory Authority (FINRA) Trade Reporting and Compliance Engine (TRACE) - to include debt issued by federal government agencies, government corporations and government-sponsored enterprises (GSEs), as well as primary market transactions in new corporate debt issues.
