The Cybersecurity and Technology Governance section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
These changes cannot be made soon enough! We need all the SI data we can get - consolidated data that’s publicly available AND (not alternatively,) more granulated data should be provided to regulatory agencies. FTD’s should be publicly reported, and actors should be punished when FTD’s occur. This should include criminal prosecution where FTD’s are due to chronic malpractice and/or price
To whom this may concern, We the people want you to hold short sellers and hedge funds accountable. There is blatant market manipulation going on which effects millions of people across the globe. The dark pools should be abolished. We need visible transparency in the market for fair and honest practice which is preached but not practiced. The growth in interest of retail investment should be an
Regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, hence why theyre called public investments, not just the privileged. I am well aware of the risks of trading in the stock market and am more than capable of assessing the risk to reward ratio of using my own hard earned money to provide a
Comments: I acknowledge that leveraged ETF's can be extremely volatile and not suitable for every investor but for should be available for those that choose them. There are extreme risks everywhere. It's up to each investor to manage their cash and risk tolerance. It's fine to put warning labels on the package but don't restrict the sale. I can illustrate many
Asa long as investors have access to information they should be allowed to invest in what every type of instrument there is available. I've invested in stocks, options and most disappointing are mutual funds that you think are managed for your benefit but in a market down turn they just hold there positions. What about big time investors who take peoples money invest in companies like
Really? I've been trading stocks, bonds, currencies, futures and actual treasury bonds since 1966. I've had a Series 7, 24 and 55. And you want to make me do what? This is a stupid regulation that prohibits me from doing what I want as an investor in public securities. I obviously understand risk, leverages and inverse funds. Restricting my ability to invest in these
Every body should be able to invest in the securities you propose to legislate. The information about these securities is widely available and well documented. In addition, the average person does not have the insider information that the likes of Nancy Pelosi and Chuck Schumer have in order to make millions off the stock market. As is the case, regulating the average American away from the
No we're not getting rid of people's rights to invest or makes money period. If you have a problem about it I can sit down and vote everyone on out. Matter of fact I can't wait for the future Mr to get home soon. I'm getting ready to hit the button for hi the heir is here and umm I don't have normal stocks etc lol ps federal reserves sec all that is in my name [REDACTED]
I feel it should be up to the investor to determine how he or she invest their hard earned money not a regulator. Some investors dont want to own individual stocks. They would rather just play what direction the market is trending at any particular month, quarter or year. These leveraged and inverse funds are extremely important to my investment strategies. I protects me from being exposed to
