As a retail investor I believe the public has the right to make informed choices to invest in leveraged funds and not to have this ability restricted.
Summary
FINRA has received an increasing number of reports regarding customer account takeover (ATO) incidents, which involve bad actors using compromised customer information, such as login credentials (i.e., username and password), to gain unauthorized entry to customers’ online brokerage accounts.
To help firms prevent, detect and respond to such attacks, FINRA recently organized roundtable
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
T2 settlement is ridiculous. There’s no reason that information can’t be gathered daily.
Let the buyer beware. It is the buyer's responsibility to inform themselves or seek help. This "permission" in a breach of personal freedom. This ain't the country club....
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years.View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Securities Data GlossaryData SourcesFINRA members report information on transactions in U.S.
I oppose restrictions to my right to invest. As long as the fund clearly inform the investors how it works, the risk is up to the investors, not to the regulators.
Please do not limit our abilities to make choices. We are more informed about our needs and investments than government is.
(a) Definition
For purposes of this Rule, the term "collateralized mortgage obligation" (CMO) refers to a multi-class debt instrument backed by a pool of mortgage pass-through securities or mortgage loans, including real estate mortgage investment conduits (REMICs) as defined in the Tax Reform Act of 1986.
(b) Disclosure Standards and Required Educational Material
(1)
