(a) Quid Pro Quo AllocationsNo member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.(b) Spinning(1) No member or person associated with a member may allocate shares of a new issue to any account in which an
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Structured Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternative Trading System), Interdealer, and Customer Trades.
The monthly data is published on the third business day following the end of the month.
About TRACE Volume Data
Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.
Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
The Consolidated Audit Trail (CAT) section of the 2022 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.
Please see below for comments in response to Regulatory Notice 22-08. Thank you for the opportunity to provide feedback. Definition of complex should be objective- if use of derivatives is a criterion it should be applied to all funds that do so. This suggests that more useful criteria would focus on factors like maximum risk of loss, risk of the fund not being able to meet its stated objectives
Now you listen here you [REDACTED] crooks! You keep your dirty filthy hands off this SECTOR of the woods!! You have no right!! These are our rights our Currencies and is beginning built by out hands for all to take part in! You want to have own or control any Crypto!!!!?? Then you get off your [REDACTED] and put in work like we do every day and you put in work!! If your to lazy!! Then purchase
In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.
I have used leveraged and inverse funds for years without problems. I can understand the desire to provide increased protection for the retail investor, but that could be handled by using the existing system of trading levels that brokerage houses use to limit trading in options and futures. I would think that it would be appropriate to require investors desiring to purchase these ETFs to be at
I believe it is every American's right to have a choice in where to store, spend, and invest our hard earned money. the banking system has failed us. yielding is .05% interest while they make billions on our money is an insult and should be a crime. crypto gives me the freedom to be in control of my own money and let me put my hard earned money to work for me, garnering all the profits (
