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My online broker just made me aware that regulations are being considered that would put additional restraints on my ability to trade leveraged and inverse ETF's. I object to what is unnecessary.
Following the logic the next step would be to put restraints on all online trading to the public. Then investments would be back to only being managed by brokers. Progress was made when
In regards to your proposed legislation to apply special criteria to investors who wish to trade in some leveraged or inverse funds. At the best, the proposed legislation is an additional burden to investors. At the worst is that it is discriminatory that shuts out small investors in favor of wealthy investors an private wealth or hedge funds. I currently have held one of these funds for over 11
How FINRA Assesses Performance of its Machine Learning Models
Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline. There is still plenty of work in the former scenario, but the latter has become more
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
In recent months, FINRA has published two Regulatory Notices regarding the fraudulent transfer of customer accounts using an automated system called ACATS. On this episode, we'll hear all about what goes into the creation of a Reg Notice and take a deep dive on this particular issue.
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Program Department
The Association is requesting comments on a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice ("Appendix F"). Appendix F relates primarily to public offerings of direct participation programs, most of which are limited partnerships. The amendment
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. On this episode, two members of FINRA’s Office of Financial Innovation join us to discuss the group’s latest report on cloud computing.
October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced its first enforcement action involving the sales of reverse convertible notes (RCNs)
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 2, 1986, 30 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,687. These 30 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for