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On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for the Securities
I oppose restrictions to my right to invest in leveraged an inverse funds. I am aware of the potential risks and potential benefits and have spent a lot of time studying them already. I consider them an important part of my overall strategy and have been able to fine tune their use over the years. I do not go overboard with them and they are not a high percentage of the money I invest. I rarely
How do I entitle someone to access an eFOCUS report?
Where are eFOCUS filings located in the redesigned FINRA Gateway?
How do I transmit an eFOCUS filing to my clearing firm?
When are my eFOCUS filings due?
Where can I see previously filed eFOCUS reports?
How do I amend a submitted eFOCUS report?
How do I print an eFOCUS report?
We are a newly registered member firm and when I click
As a reminder, FINRA is introducing a new system for FINRA member firms to submit the FINRA Participation Agreement and manage TRAQS users. Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to complete these functions. The Participant Data Management entitlement was granted to all existing FINRA Participant Agreement and FINRA Order Form users as
I consider investing my own money a decision that I am fully capable of making without additional controls. The changes being considered to gate who has access to leveraged and inverse ETFs/Funds are barriers to entry. Personally, I use them in my investing to better manage market downturns and to gain better returns. In 2020 when the market was getting hammered, I was able to invest in an
I found it very alarming to hear that FINRA is considering restricting access to leveraged ETFs. It is very concerning to hear that regulators believe private investors are incapable of understanding the risks associated with a leveraged asset like the ones that I utilize in my investment strategy. These investments undoubtably are more complex than an individual stock, but it is my belief that
It's extremely annoying when US Government regulatory agencies think they know what financial products are appropriate for me. The US was founded because a bunch of British citizens didn't approve of their overlord's restrictions. Unfortunately, it seems the 'leaders' of this country have learned nothing from that part of our history.
If you want to
Hello-
As someone who invests in their limited free time, I still have more than enough information at my fingertips to research where I put my money. Limiting my ability to invest in leveraged funds does nothing more than keep leverage out of my hands, while concentrating these sorts of valuable financial tools in the hands of those who don't need to worry about how they'll be
To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.
Following is a list of Rule filings by the NASD regarding broker/dealer regulation that are pending at the SEC or recently approved. Copies of Rule filings (and any amendments), the SEC release publishing the
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE