(a) Clock Synchronization
(1) Each Industry Member shall synchronize its Business Clocks, other than such Business Clocks used solely for Manual Order Events or used solely for the time of allocation on Allocation Reports, at a minimum to within a fifty (50) millisecond tolerance of the time maintained by the atomic clock of the National Institute of Standards and Technology ("NIST
I write to oppose any rule or regulation that limits leveraged ETF positions to one day or access to leveraged ETFs. I am a retail investor that has done a lot of research on leveraged ETFs, am comfortable with the risk, and have invested a portion of my portfolio that I am comfortable with in leveraged products and plan to hold long term. If positions were limited to a single day, I would be
Summary
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
(a) The Financial Industry Regulatory Authority, Inc. delegates to its subsidiaries, FINRA Regulation, Inc. and FINRA CAT, LLC (hereinafter "Subsidiaries"), the authority to act on behalf of FINRA as set forth in a Plan of Allocation and Delegation adopted by the Board of Governors and approved by the SEC pursuant to its authority under the Exchange Act.
(b) Notwithstanding any
If you graduated with a sizable amount of debt, you aren't alone. The high costs of college mean it’s common to finish school with thousands of dollars in student loans. Though repaying student loans might feel overwhelming, educating yourself about your obligations and options can help you develop a plan to tackle your debt.
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm
FINRA is alerting consumers of its OTC Transparency Data to some recent changes related to the FINRA API platform.
OAuth2 Authentication:
In order to improve security, FINRA is transitioning to OAuth2 authentication. As such, the API platform will only support OAuth2 authentication starting June 1, 2022.
After May 31, 2022 the FINRA API platform will no longer support Basic Authentication
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
Look, most folks already have an investment advisor. I expect HER to know whatever regulations you folks are planning to add to the process of buying investment products. Furthermore, your idea for additional regulation sounds to me just like a LITERACY TEST FOR VOTERS. So here's the deal... I'll buy your "additional investing regulations" just as soon as we
I am fully aware of risks and benefits associated with leveraged ETFs. I have made a conscious decision investing in these funds which has helped me achieve my retirement goals sooner. I work for University of Southern California who has not been able to help me in retirement saving. I achieved in a short period of time what university's retirement fund specialists were planning in 20
