I should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. Additional regulation would only serve as an unfair restriction on the public in investing in public securities. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like
Comments: Dear FINRA, I have been investing in stocks and options for over 30 years and have used leveraged or inverse products for the last 20 years. The proposed regulations and or guardrails for what you call complex products would undoubtedly disrupt the existence of these products and future development of these products. L&I ETF's have given me the opportunity to
Will I be able to log in to FINRA Gateway with my existing Firm Gateway credentials?
Yes, Firm Gateway users will be able to log in to FINRA Gateway using their existing Firm Gateway credentials.
Can I customize my experience in FINRA Gateway?
Yes. As of April 7, 2020, you can:
customize lists of registered individuals, branches, and related action items using the Reports feature, which was
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Executive Summary
The National Association of
I am an investor in leveraged funds like TQQQ and perfectly understand the risks involved in such funds. I do not want to go through any test to prove my ability to trade such funds. Please do not place undue burden on investors by bringing in unnecessary hurdles like a test, high N/W etc
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
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Effective Date: October 31, 2005
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On November 15, 2021, FINRA’s Alternative Display Facility (ADF) will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting rules. Please refer to FINRA Regulatory Notice 20-41 for additional information on firms’ reporting obligations under these amendments.
ADF currently supports timestamps up to
<p>Applicability of Rule 3040 to investment advisory activities of an individual who is dually registered as a registered representative and a registered investment advisor.</p>
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As of March 23, 1993, the following 55 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,032:
Symbol
Company
Entry Date
SOES Execution Level
CMPO
Campo Electronics Appliances & Computers Inc.
2/24/93
1000
FSOU
First Southern Bancorp, Inc.
2/24/93
500
PENVF
Philip Environmental
