SUGGESTED ROUTING*
MunicipalOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day and Thanksgiving Day.
On Friday, November 11, the NASDAQ System and the exchange markets will be open for trading. But, it will not be
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 15, 1987, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,046:
Symbol*
Company
Location
ATKM
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 2, 1985, 40 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,045. These 40 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I hope this letter finds you well! Thank you for taking the time to consider retail investor's side of the disturbing issue that has recently been brought to my attention.
Securities such as SQQQ and TQQQ among many other leveraged and inverse funds should not be restricted from trading or limited to only a select group of traders. The financial system is already leveraged in favor of
I oppose any restriction on individual investors use of inverse or leveraged ETFs. I personally have used inverse and leveraged ETFs to protect myself during periods of market volatility as a means to limit my downside risk while keeping invested in the market. I except to lose a certain amount of money on these instruments in many instances but accept that cost because of the downsides of
Impact: All Firms
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain names “@finrarps.org” or “@finrarps.net”. The domains of “finrarps.org” and “finrarps.net” are not connected to FINRA, and firms should delete all emails originating from these domains. Member firms should be aware that they
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using one of at least three imposter FINRA domain names:
“@finrar-reporting.org”
“@Finpro-finrar.org”
“@gateway2-finra.org”
The email asks the recipient to click a link to “view request” and provide information to “complete” that request
