I am a financial professional. I used to work for market dealer and I was not allowed to trade options. Leveraged ETFs gave me the opportunity to get some leverage and get a piece of the returns reserved only for big players like Hedge funds and Investment banks. I started trading options after I left the broker dealer. I was fully educated and knowledgeable of how to manage risk. Good market
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023,
A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources.
Call (833) 26-FINRA (833-263-4672)
Monday – Friday
8 a.m. – 6 p.m. Eastern Time
As part of our ongoing efforts to provide support for small firms, and in response to the FINRA Special Notice on Engagement and FINRA360, FINRA developed the Small Firm Helpline to assist broker-dealers that need
As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities
The FINRA Test Facility (NTF) for ORF is currently unavailable for testing. FINRA will notify clients when NTF is back online.
Production systems are unaffected.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
The FINRA Test Facility (NTF) for ORF has been restored and is now available for use.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
FINRA ORF Trade Journals from October 26, 2023 via ADDS are currently unavailable. FINRA Members may view their trades from previous days by using the TRAQS web application. FINRA is working to resolve the issue and a notice will be posted once the trade journals are available.
FINRA ORF Trade Journals from October 26, 2023 via ADDS are now available.
