Do not limit my ability to invest and make my own informed investment decisions.
Investor should be informed all risks and benefits. No extra regulations are not required for leveraged funds.
Limiting the ability of investors is the wrong approach. We are aware of the risks. Information is always the answer.
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
As previously reported in Notice to Members 88-104 and 89-17, the NASD requires its members to respond to requests for trading data by using a standardized automated format. This format is
Washington, DC — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) today announced 13 grants, totaling more than $853,000, to public libraries and library networks across the country, giving millions of library patrons and their families greater access to unbiased investing information and resources.The grants are awarded
Washington, DC—A new national survey shows American investors have significant and widespread anxiety about the security of their investments, particularly as it relates to their retirement savings. More investors report that they are anxious about losing money on their investments (78 percent) and saving for retirement (73 percent) than are anxious about losing their job (50 percent), buying a
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. FINRA has published several notices to remind firms to use PDM to review their TRAQS users. As a final reminder, firms are
Treasury Aggregate Statistics to Provide More Transparency in Marketplace
WASHINGTON — FINRA today for the first time posted weekly, aggregate data on the trading volume of Treasury securities reported to TRACE®, FINRA’s Trade Reporting and Compliance Engine®.
The new Treasury Aggregate Statistics report provides trading volume in U.S. Treasury securities reported to TRACE for the prior week.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure). The proposed rule change would (1) make information about formerly registered individuals subject to a final regulatory action available through BrokerCheck® on a permanent basis only
Please stop the government intrusion into crypto currency the public can make informed decisions nowadays .
