INFORMATIONAL
Mutual Fund Performance
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Internal Audit
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Variable Contracts
Advertising
Mutual Fund Performance
Executive Summary
Recent unusually strong equity market performance helped some mutual funds, particularly those
SEC Approves Consolidated FINRA Customer Order Protection Rule
COMMENTS ON 22-08 You have made this request for comments so complicated that it is hard to follow. I will just list my ideas and you can try to sort them out. On my trip from model airplanes to airline captain I have made many replies that affected new FARs. This a free country and everyone should be able to risk some $ and try to make more $. This should include hedge funds, but limited to a
I do not support restrictions on peoples freedom to invest. While perhaps the intentions are good it is a slippery slope to start restricting trading on certain investments, such as leveraged and inverse trading vehicles. While these funds may indeed have higher risk, so do many individual stocks. Not all companies and their corresponding stocks are equal, people make investment choices all
The Market Access Rule topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
As an RIA for over two decades, I want the ability to use whatever tactical strategies I see fit for my clients as well as myself. I have used inverse funds within hedging strategies since the 1990s to no ill effect for my clients. They are extremely useful tools for hedging against large market losses, especially within Long/Short strategies. With the advent of cannabis, crypto, day-traders, and
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Individual investors should have available opportunities to invest like professionals without being subject to severe limitations. Being able to invest in leveraged and inverse securities is important to avoid margin or shorting requirements in a negative trending market.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 7640B (Data Products Offered By NYSE) to (1) describe FINRA’s practices relating to the distribution of market data for over-the-counter (“OTC”) transactions in NMS stocks generated through the operation of the FINRA/NYSE
Apes watch stonks daily and witness manipulation of the price. Surely the FINRA authorities have the ability to witness the same. Please stop NAKED SHORT SELLING and DARK POOL manipulation of price.
