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Any proposal to limit an investors ability to purchase inverse funds would not be well received and obviously ill-timed given market conditions. Every investment contains risk and a regulatory authority should not posses the authority to restrict an investors ability to use products such as these that can actually mitigate risk in one's overall portfolio. If such rules are implemented,
The Audit Committee of the FINRA Board of Governors engaged Lowenstein Sandler LLP to conduct an independent review in connection with a Fulton County, Georgia Superior Court decision vacating an arbitration award in favor of respondent Wells Fargo Clearing Services, LLC. The Court of Appeals of Georgia reversed the Fulton County, Georgia Superior Court decision finding no evidence of an agreement between Wells Fargo and FINRA. Furthermore, the Court of Appeals of Georgia found nothing that indicated Wells Fargo manipulated the arbitrator pool in the subject arbitration.
As an individual investor I am concerned that limiting my investment options is being considered.
Commodity ETFs, inverse ETFs, and leveraged ETFs are an important part of my investment strategy, both as defensive options in turbulent markets and as vehicles to enhance short to medium term trend investment strategies.
These investment vehicles should not be limited to use by high wealth
PLEASE< PLEASE< PLEASE DO NOT TAKE MY ABILITY AWAY TO BUY AND SELL LEVERAGED/INVERSED PRODUCTS. My Social Security Benefits does not pay me nearly enough to live off of. I am 68 years old and have been investing/trading for 22 years without a personal broker. I feel public investments should be available to all of the public,
I invest in stocks and ETFs (BOTH LONG AND SHORT
I have heard that FINRA is seeking to put restrictions on investors, particularly individual investors, from buying into inverse funds or leveraged funds. I am an individual investor and having been using leveraged and inverse funds for more than 10 years. I am quite capable of doing my own research and understanding the risks. In the current market environment using these types of funds is a
View frequently asked questions and guidance to aid members in their reporting obligations under FINRA Rule 4521(d). Note: This guidance only applies to members that need to report data pursuant to Rule 4521(d).
I am a simple accountant from Long Island, NY. I have been investing in inverse ETF's for 13 years. In 2009 I left a low paying job as a tax auditor for the Pennsylvania Department of Revenue. They cashed out my accrued pension benefits, which were worth $6,500. I deposited this money into a traditional IRA rollover account with a broker in February 2009. I invested 20% of the
Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re-platform the FINRA OTC Reporting Facility (ORF) to a new Linux-based operating system.1 This update is in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
ORF currently supports timestamps up to milliseconds. Effective December 5, 2022, ORF
