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These days many investors are trading online, whether through the Internet or through other electronic means, such as a mobile app. This may sound pretty straight forward, but there continues to be some common misconceptions about online trading. Here are four myths in need of busting.
The Best Execution, Consolidated Audit Trail (CAT) and Disclosure of Routing Information sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I am a retail investor and use leveraged ETFs for a portion of my portfolio. Before buying these leveraged ETFs, I did a significant amount of research to understand the risks. This included back testing how the funds would behave in different market and monetary conditions. I also read the prospectuses for the funds. All this information was available and provided sufficient information on the
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
The data is grouped into "Total," "ATS” (Alternative Trading System), ”Interdealer" and "Dealer-to-Customer" categories.
The data is published on the third business day
August 7, 2006
NASD is publishing this article to provide additional guidance to members regarding use of the Routing Method Code of "S" (Smart Router) on Route and Combined Order/Route Reports.1
For purposes of OATS reporting, NASD defines a Smart Router as a system that, based on predetermined logic applied to variable market conditions, determines without human intervention, the
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect.
I use leveraged indexed ETF's actively trading them over short time horizons under steady participation in a long time horizon (25+ years) to smooth out inconsequential market fluctuations, even as much as 50%+, as part of my overall portfolio strategy. The financial services providers servicing these funds have been
Do NOT change investment options. Current warnings each time a leveraged trade is made by service providers is enough.
MSRB Rules G-12 and G-14
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Senior Management
MSRB Rules G-12 MSRB Rules G-14 Transaction Reporting
Executive Summary
NASD reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (MSRB) Rules G-12 and G-14, particularly the requirement that member firms report their
SG Americas Securities to Pay $3.1 Million in Total Fines to FINRA and SEC
WASHINGTON—FINRA announced today that it has fined SG Americas Securities, LLC (SGAS) $1.55 million for submitting inaccurate trade data (known as “blue sheets”) to FINRA for more than seven years. Additionally, the firm must also certify within 90 days of this settlement that it conducted a comprehensive review and
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to Articles VII and X