Limiting the ability of the common stock holder to use leveraged stocks leave the market free for only the privileged few. Wrong doing and unjust.
If we can buy crypto and penny stocks, we should certainly be able to buy leverage stocks as well, if we so choose.
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors.
Member Assessments
The NASD amended Section 1, Schedule A to the NASD By-Laws to increase the credit against a member's annual gross income assessment from 62 to 67 percent for calendar year 1993. The credit will be reduced to 59 percent for 1994.
Because members have already paid their 1993 assessments with the 62 percent credit in effect, the increase to 67 percent will create a credit
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC
I oppose restrictions to my right to invest in stock market which would limit my ability of investment in stock and long term financial perspectives.
All investors should have the opportunity it go long or short, based on their views of companies and/or the economy. These proposals feel more like an effort to limit short selling, which of course some folks have high financial motivation to want. If you want to protect retail investors, start focusing on the large banks on wall street who manipulate retail investors all the time through other
Comments: I believe that access to leveraged and inverse funds has helped me hedge my portfolio. Without these products my portfolio would slide to zero. Do not make any changes in this volatile environment. There is no need to enhance any rules.
Do not restrict or disqualify my right to trade these products.
The purpose is short term active hedging.
Brokerage firms provide sufficient
I do not want to see companies fined for breaking rules and laws. For instance, if a company is found to be naked shorting, it should be forced to close all short positions immediately. Failure to do so should result in prison time for senior staff. If I counterfeit a dollar I go to prison. The same should apply if I counterfeit a share. If law enforcement took a cut of my counterfeit dollar,
