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On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. Firms are strongly encouraged to use PDM to review their TRAQS users on a regular basis to ensure that accounts remain valid
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the SEC’s recent amendments to Regulation S-P.[1] On May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements and requiring covered institutions to (1) adopt an incident response program and (2) notify affected individuals whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization.
Accessing the Form
If you have credentials for a FINRA system, you do not have to create a new account — you can use your established credentials to access the Rule 2080 Waiver Request Form.
Attorneys can use the same credentials used for the DR Portal.
Current and former registered representatives can use the same credentials used for FinPro.
Broker-dealer firms requesting a waiver on behalf
(a) Each member shall synchronize its business clocks, including computer system clocks and mechanical time stamping devices, that are used for purposes of recording the date and time of any event that must be recorded pursuant to the FINRA By-Laws or other FINRA rules, with reference to a time source as designated by FINRA, and shall maintain the synchronization of such business clocks in
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
I strongly oppose any restrictions on investing in leveraged and inverse funds.
The public should be able to decide where to invest OUR money. I am a small investors and making these products only available to just the "privileged" is just another example of the unfairness in the current environment of our economic system.
As a small investor I am completely able to understand
I strongly oppose any restrictions on investing in leveraged and inverse funds.
The public should be able to decide where to invest OUR money. I am a small investors and making these products only available to just the "privileged" is just another example of the unfairness in the current environment of our economic system.
As a small investor I am completely able to understand
The use of dark pools as a tool for price suppression is overwhelmingly clear. Market manipulation is actively taking place and the free reign of large organizations to process transactions off-exchange is essentially cheating the system. Additionally, there is basically no real, enforceable regulation on the shorting of stocks. Through aggressive shorting, powerful entities can drive many
Hi,
In my opinion, People should be allowed to choose how they can invest their money to achieve their goals. They are best suited to understand their risk appetite. Putting restrictions on where they can invest and where they can't makes two classes of people, Ones who have the privilege and others who don't. Adding special conditions/processes before they can invest will not