Effective Date: February 15, 1998
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Executive Summary
On December 31, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (
I am against the FINRA Proposed Rule #22-08. Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. Rule #22-08 upends that principle, giving regulatorsnot methe power to decide what public securities I can and cannot invest in. Investors have the right to freely access the entirety of the public securities
Usually when an action like this happens, the powers that be ARE NOT thinking about the average investor, they are thinking how can we keep the major benefits of investing to the "Ultra Rich" and thereby avoid any "Gamestop" activity and exactly time the market for their own wealth. Do I think it is important for any security to have full disclosure? The answer is yes. But
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original loan-to-value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, July 26, 2021. On this
Please do not restrict my ability to invest in inverse funds. I don't want my only choice to be long the market or out of the market. The government policy of setting artificially low interest rates for far too long leaves me little choice. My retirement savings is being eaten away by inflation, whether inflation is high or inflation is low. I need the same investment options available to me
No member shall make an offer to buy from or sell to any person any security at a stated price unless such member is prepared to purchase or sell, as the case may be, at such price and under such conditions as are stated at the time of such offer to buy or sell.
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.01 Firmness of Quotations. Members and persons
The Outside Business Activities and Private Securities Transactions section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Demetrios (“J”) Koutros is Senior Vice President of Member Supervision’s Operations, Procedures, and Standards group. Mr. Koutros has been integral to the operation and execution of the Risk Monitoring and Examinations regulatory programs since joining FINRA in 2005. In his current role, Mr. Koutros oversees the implementation of and adherence to procedures, controls and standards for
(a) Millisecond Time Stamps
(1) Subject to paragraphs (a)(2) and (b), each Industry Member shall record and report Industry Member Data to the Central Repository with time stamps in milliseconds.
(2) Subject to paragraph (b), to the extent that any Industry Member's order handling or execution systems utilize time stamps in increments finer than milliseconds, such Industry Member shall
This data provides up to 10 years end of day trade activity for on-the-run nominal coupon treasury securities. View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Trade Activity Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury Securities to the Trade Reporting And Compliance Engine (TRACE), the
