This effort is quite extraordinary. It was clearly an enormous endeavor to create the taxonomy and build out the site. I think that many other agencies will benefit from this work and would be very interested in your process, the time and resources required to undertake this type of initiative. It is daunting to think about where to begin.
Firms Failed to Reasonably Supervise 529 Plan Share-Class Recommendations Made to Customers; Matters Identified Prior to FINRA Initiative Launched in January
WASHINGTON — FINRA announced today that Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Raymond James & Associates, Inc. (RJA), and Raymond James Financial Services, Inc. (RJFS) have agreed to pay a total
In brokerage accounts such as TD Ameritrade, we are free to trade stocks and financial instruments such as leveraged and inverse funds without any pressures of dealing with an actual broker. There is no solicitation or advertising on these sites that points us to any particular fund or stock. Please don't restrict this freedom.
Short interest is a snapshot of the total open short positions on the books and records of brokerage firms on a given date. FINRA and U.S. exchange rules require that this information be reported twice a month. Short interest data does not—and is not intended to—equate to the short sale volume data on FINRA’s website.
1. Real-time TRACE Data (Vendor Agreement)
Firms wishing to subscribe to either the Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Services (ATDS), Securitized Products Dissemination Service (SPDS), and/or 144A Bond Trade Dissemination Services (144A) must complete and sign the TRACE Vendor Agreement. The executed Agreement should be submitted electronically to:
This appears to be part of campaign by ProShares to protect their inverse ETFs. Their sponsorship of the comment site (leteveryoneinvest.com) is hidden. It fails a basic transparency test.
Please review and consider the list of investments to see if they are all equally or substantially toxic to the general public.
It is a shame their isn't a malpractice standard for investment firms.
I would like to have equal transparency among all investors and eliminate dark pool trading and other off site trading venues that the majority of retail investors do not have access to. Fines for cheating are not enough. Liquidate institutions who fail to deliver!
I teach ETFs, both leveraged and un-leveraged ETFs to 13 year olds. They understand them very easily. All one has to do is to search what the ETF is composed of on a site like ETFDB.com or any other website. The ETF leverage is often also stated in the name of the stock next to the ticker.
Executive Summary
The transition of the current NASD PROCTOR® Certification and Training Centers into the Sylvan Network is on schedule. Authorized Sylvan Technology Centers will begin computerized delivery of Qualifications Examinations and the Continuing Education Program's computer-based training (CBT) in mid-November 1996. Questions regarding locations available for computerized
