FINRA has created this page to educate member firms on “Firm Identity Theft”.
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As a self-regulatory conglomerate it is beyond the reasoning of a "retail" investor as to why such ordinances do not already exist. The SEC itself has proclaimed naked-short selling to be a well established predatory and dangerous practice that undermines the free-market operations of millions of non-institutional investors who cannot play by the same rules. In addition to the
The Long Term Stock Exchange (“LTSE”) is providing a second testing opportunity this weekend in preparation for their August 28, 2020 launch. Firms participating in the August 22, 2020 test may send OATS data related to those orders to the OATS Certification Testing environment before the following Monday's OATS reporting deadline. OATS will then attempt to match to LTSE test data
How dare you even think about making it more difficult for the general public to save for retirement. That you lump inverse funds along with leveraged funds is particularly damaging; you want the general public to try shorting stocks, really? You think that's less difficult than buying an inverse fund? Inverse ETFs are extremely important to my own trading, and have saved me more than
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There are many articles on the website, internet, stock magazine to educate the individual investors. It's becoming more popular & investors use these tools to hedge & enhance return. These reverse ETFs are similar to options. The only warning which may be added is to require investor to put in a stop sell order. Ref. Technical Analysis of Stocks & Commodities, Jan
Summary
The U.S. government has imposed sanctions in response to Russia’s actions in Ukraine. FINRA is issuing this Notice to provide member firms with information about these recent actions. FINRA encourages member firms to continue to monitor the Department of Treasury’s Office of Foreign Asset Control (OFAC) website for relevant information.
If you have general questions
Summary
FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity to participate in the Maintaining Qualifications Program (MQP). This new enrollment period begins March 15, 2023, and will end on December 31, 2023.
Questions concerning this
