The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
As a smaller investor (net worth <$1,000,000), I find that there is great value in being able to trade with a leveraged product. By using a leveraged product that does not require me to use personal margin, I can keep myself debt free, use a leveraged product, obtain the benefit of either rising or falling markets, and hedge long or short. I trade and focus on the S&P 500 only.
I am not in favor of limiting investor choice when it comes to these types of funds, which allow investors an element of diversification with reduced committment of funds, which is especially useful given the high degree of correlation of all common stocks and bonds in the current Fed-related stock market correction. It may allow investors the ability to confiently hold core portfolios long term
Arbitrator Training
Training Module
Arbitrators must complete the Expungement training course and pass the exam with a score of at least 80%. It is available on FINRA’s training platform.
Expungement Training (Module 16)
Enhanced Expungement Training - NEW
The Enhanced Expungement Training provides an overview of revisions to the Codes of Arbitration Procedure to
regulators , I should be able to choose the public
investments that are right for my family.
Public investments should be available to all of the public,
not just the wealthy.
I enjoy playing the stock market
There should not be any test to have to take to play or invest in the market. Some people have disabilities and I believe this could also become discrimination.
Im capable of
I would like to voice my strong opinion that everyone should be allowed to choose stocks, bonds or riskier investments. I think the reason for this is partly due to many people in online discussions about stocks could eventually affect the real so called pro hedge funds that the banks fully support. Its my money to risk to lose, or profit from. Thank you, Bill Faust.
Dear Sirs: I object to your attempts to stifle the free trade in the stock market. Inhibiting my ability to buy inverse stocks without demonstrating compliance with rules meant to restrict this freedom is anti-American. Leveraged and inverse funds are a key part of my investment strategy. Let free trade continue and stop any attempt to restrict our freedom to invest as we see fit.
I have been a long term investor in leveraged products for more than 12 years. I am a responsible and an educated investor with these type of investments. My broker, TD Ameritrade provides a warning every time an order for leveraged/inverse investment is made. These are not Meme stocks or high risk options that need any sort of regulation. In fact, meme stocks and options are the ones that need
Putting a capital requirement on freely trading leveraged etfs just adds another barrier to entry for lower income people to enter the stock market. All brokers already clearly state the risks when people trade these products so everyone should be able to determine for themselves whether its right for them. The stock market shouldnt just be a playground for the wealthy it should be for everyone.
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/Nasdaq Trade Reporting Facility or if the FINRA/Nasdaq Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/Nasdaq Trade Reporting Facility Operations Department,
