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Bond market pricing is far more opaque than it should be. This rule change is a good step in the right direction. But, I assume there are market participants who benefit from this opacity, and would rather keep things as they are.
FINRA has observed a number of ORF clients experiencing problems submitting transactions to TRAQS. Users are presented with an error related to the connection attempt.
FIX trade reporting is unaffected by this issue. FINRA is currently researching the problem and will provide an update when it is known.
TRAQS clients with questions regarding this issue should contact FINRA Market Operations at
One in Five Investors Started Investing Recently
Younger Investors More Comfortable with Risky Investments
One Third of Investors Open to Cryptocurrencies
WASHINGTON—A substantial proportion of investors joined the market relatively recently, younger investors are more likely to engage in riskier investment behaviors and a third of investors are considering investing in
On October 12, 2022, the SEC amended Rule 17a-4. FINRA has prepared a chart that summarizes the most significant changes.
Read time: 2 minutes
Life happens. Sometimes in the most jarring, unexpected ways that can impact your work life and your livelihood. And when it does, you want to work for a company with empathetic leadership, that has genuine concern for employees, and a culture of caring and adaptability.
Hi, I’m Sarah. In March 2020, I experienced firsthand, and at the highest level, that FINRA is that kind
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST
I not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
Would like to continue to have the ability to buy ETF's as long as the proper transparency is available to make an intelligent decision.
Keep your hands off my crypto currency because it is a financial investment for everybody not something to be governed by anybody
To Whom It May Concern:
About 5 years ago, I realized that I would need more than my 401(k) funds for retirement. Since then I've added investments in different types of accounts. I've been surprised at roadblocks placed in my way such as forms and required reading simply to enable purchases of inverse ETFs. As an adult putting my money on the line, I will do research to
I have been investing in inverse leveraged funds for over 10 years. I understand them and I watch their movements on a daily basis. One of the primary purposes of investing them is to protect my stock investments. I would not like to see my investing in these funds to be limited by additional regulations. Please do not impose additional restrictions.