Hello, I'd like to have a faster access to the Short Interest reporting, receiving the information after more than 2 weeks it was released it leaves the retail investor in disadvantage compared with big entities like MarketMakers, HedgeFunds and investment funds,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
Hello, In regards to the Regulatory Notice issued by the Financial Industry Regulatory Authority (FINRA) on March 8, 2022, I would like to express my concern as to the potential limits this rule will impose on some investors for buying and selling of the leveraged and inverse funds or other products deemed to be complex in nature. I regularly use these products as a focal point of my trading
I don't believe that it is correct to classify products as complex due to their structure. Leveraged ETFs have their complexities, but so do many companies. Any given biotech stock may expose investors to more risk, but would be easier to access and trade. It's my belief that any investor who fails to understand the product they're buying deserves any losses they may take and that
SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
My Pro shares inverse fund allows me to hedge the downside of the stock market. Thank You
These are complex financial instruments but less risky than options or individual stock ownership. Please do not regulate these.
The ability to freely use stocks, permitted my life to be better
My children have benefited as well
please allow leveraged ETFs for seasoned investors that use these ETFs as a hedge against stock market drawdowns
