Hello, I have been buying crypto currency and crypto funds since early 2021. I am unhappy that till date SEC has not made decision on what rules should apply to crypto. Since January 2022 the whole crypto group has been in decline. The decline is due to SEC inability to make decision within appropriate time. Please don't make new restrictions that I should pass a test in order to buy
I am extremely disappointed in FINRA's attempt to increase regulation regarding the rights of individuals to invest freely. Leveraged securities should remain a free choice to all investors! Over-regulation with a perceived higher purpose is usually fraught with unintended consequences. So-called protections for small investors and our access to leveraged ETFs will inhibit our options
I am very much opposed to any limits or restrictions on an individual investor's ability to purchase non-leveraged inverse ETFs. These securities allow individual investors to hedge during periods when traditional markets are experiencing negative returns. For example, during the first four months of 2022 SPY was down (12.99)%, but SH had a positive return of 12.85% Likewise, IEF had
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-3b Exhibit B - Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
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Summary
In support of the Securities and Exchange Commission’s re-proposal to amend Rule 15b9-1 under the Securities Exchange Act of 1934,1 FINRA is issuing this Notice to re-open the comment period for Regulatory Notice 15-13. Rule 15b9-1 currently provides proprietary trading firms with an exemption from membership in a national securities association. If the SEC re-proposal is adopted, the
I think that pattern day trading rule for accounts less than $25000 is unfair and I like to be cancelled because small investors like me with account $2000 lose money because of this rule.Exempleon 12/11/12 I had 3 day trades in 5 trading days and I traded earnings on C3AI and because I can not sold the stocks because then my account will be restricted because the stock rises and then fall out I
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees
WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.
The Board appointed
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and
when i first heard that leveraged funds were no longer allowed to be created, i was angered by this overreach. at least those in existence would be grandfathered and i could still use them. to now learn that you are contemplating restricting my ability to use such exchange traded funds is insulting. even the cooling-off period. i bet it would have prevented me from making trades during the recent
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
