Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
In observation of Independence Day, the ORF System will be closed on Tuesday, July 4, 2023. Please be advised that the ORF system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market Session
Normal
In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Tuesday, July 4, 2023. Please be advised that the TRFs will close early on Monday, July 3, 2023. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
NYSE TRF
In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Tuesday, July 4, 2023.
Please be advised that the ADF will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market
In observation of Independence Day, the TRACE system will be closed on Tuesday, July 4, 2023. Please be advised that the TRACE system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
I understand and
The Anti-Money Laundering, Fraud and Sanctions topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Options are far more dangerous than leveraged ETFs for multiple reasons (e.g. time decay with options whereas one can hold ones "too soon" leveraged positions until market conditions change) and youre proposing this? Makes no sense. Please leave we the investor make own decisions. Politicians should not restrict the freedom of the little guy while only benefiting the privileged
FINRA - I understand that you feel a need to protect investors from some of the potential pitfalls of leveraged ETFs. I urge you to approach this topic with caution, however. Face it, risk is the foundation of investing and the entire field is fraught with potential pitfalls, interpretation, influence and missteps. There are no guarantees and, effectively, no real reliable sources of information
FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) grants FINRA staff and adjudicators authority to inspect and copy the books, records and accounts of member firms, associated persons and other persons over whom FINRA has jurisdiction relating to investigations, complaints, examinations or proceedings.
