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I'm writing to ask that you don't change rules that would disallow me from making my own choices on which funds that I choose to invest. There should not be any special litmus test to determine my ability to invest in funds of my choosing. Leverage funds have benefited me greatly. My investments have grown exponentially, especially during lean covid years. Most investors who use these
Dear Regulators,
I am writing to request that you not impose restrictions on the use of leveraged or inverse funds.
As a personal investor, these products are an important part of my overall investment portfolio. I use a system of reactive rebalancing that employs some leveraged funds to enhance my returns and protect against market drops.
I am aware of how these products work and use them
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement. During her time as Head of Enforcement, FINRA brought numerous significant disciplinary actions to protect investors and markets, including its largest-ever enforcement action; prioritized returning money to harmed
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On July 22, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change that deletes Part IX, Schedule D to the NASD By-Laws. The deleted provision permitted NASD members to access The Nasdaq Stock Market (Nasdaq) in a market-making capacity without subscribing to Level 3 Nasdaq Workstation
On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
National Adjudicatory Council Committee Members
The Financial Industry Regulatory Authority (FINRA) Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Service (ATDS), Securitized Products Dissemination Service (SPDS) feeds and 144A Bond Trade Dissemination Service (144A) are available via a number of extranet providers, and software solutions for feed integration are available through third-party vendors. Additional vendors
Instructions for Completing the FINRA Participation Agreement
PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities OperationsRule 6200 Series
Transaction Reporting
TRACE
Executive Summary
On June 14, 2004, the Securities and Exchange Commission (SEC or
Commission) approved amendments to Rule 6230