I strongly oppose this arbitrary regulation that arbitrarily singles out leveraged and inverse etfs to high net worth individuals. This is clearly a case where regulators are falling prey to political pressure to "protect" investors. These funds are incredibly useful in instances where trading futures is not available. In addition, the risks inherent to inverse and leveraged funds are
I have been investing since 1969. During that time, I have made many mistakes, some quite costly, but from each of them, I’ve learned something. I’ve never learned anything by being right. If regulation such as you are now proposing had been in effect then, I would have been prohibited from making the choices that taught me to be a better investor. People are not protected by this kind of
Dear FINRA Regulators, I AM OPPOSED TO RESTRICTIONS ON MY RIGHT TO INVEST in inverse investments as an individual. It is important that the public at large, and in particular, me and my family, be allowed to invest in inverse ETF's without restriction or further regulatory interference by imposing additional regulations. We, as investors, are in charge of knowing the risks and opportunities
I see no reason to regulate what a person decides to do with their money. The government doesn't appear to have any restrictions on it's ability to manipulate the market on a daily basis as it does. The craps table isn't restricted or any other game in the betting business. Margin is allowed, shorting is allowed, and I'm sure there are other things big money is allowed to do.
To whom it may concern, FINRA 21-19 will be an effective change that should've been implemented long ago to end the systemic risk involved in the current inadequate state of short-interest reporting. American and global investors are looking at the state of the American market and find themselves uncertain about the validity of the reported numbers when various short positions are
I would like to speak for all retail investors when I say the underhanded ways corporations are given to manipulate a stock are abhorrent. A pure disregard for what an "Open market" should be. I feel the only way the playing field can be leveled is to make all information available to us, and for entities such as yourselves to police matters harder with stiffer penalties. This is the
We demand transparency with investment firms and funds surrounding the various fees that'll be charge. We need price transparency which is all information regarding a stock's price (such as its bid prices, ask prices, and trading quantities) is available to retail traders. We also Need the T-2 settlement to be reduced to under 1 day. Please give us a fighting chance in the market. ITS
There isn’t any transparency within market. FTDs need to be enforced without delay. NO more dark pools. And SSR should be enforced more strictly. market has become very main stream this year a lot of new investors because of meme stocks - so a lot of these problems are trending to the majority and if nothing changes I can see a lot more people will not trust market after this year.
The Cybersecurity and Cyber-Enabled Fraud 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.
The Technology Management 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.
