It is outrageous that regulators want to treat the average investor like a second class citizen. Why do we need to take tests in order to buy an ETF?? This is America and we should be able to invest as we see fit. We should have the same access to the same products as anyone else.
Why should you need a degree in finance in order to buy an ETF? Similar to owning a gold ETF instead of owning gold
I strongly oppose any restriction placed on my ability to buy leveraged ETFs. I am a "smart" Retail investor who has done his homework, understand the risks and volatility that come with these leveraged ETFs and I want to be able to continue buying them.
They have given me sizeable gains over the long term.
Trading using margin or options is much more riskier. Options have
Hi,
I have been an active trader for the last 10 years and have used many trading tools, ranging from simple stocks to complex derivative strategies. Leveraged ETFs/instruments are excellent tools I use to hedge my trades and enhance performance. One of the main reasons these are excellent assets is their ease of access. While they carry more risk (clearly stated with every brokerage platform I
I am aware of the restrictions that may be introduced on my leveraged investments and I strongly appose any limitations likely to be considered on these investments! As a private investor I should be allowed to choose where to invest my capital as I take full responsibility for the outcomes of my investment strategy. I understand leveraged and inverse funds and am fully aware of the risks
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.
The way I'm understanding this law is so it can always benifet the bigger people that hold high positions. Let us the little people and middle class people have the same rights as you the rich people. We should all be able to invest in anything we want as long as we know we can always loose and to make sure we don't over invest and then loose more money or houses. But our
As a former complex product supervisor for one of the largest broker-dealers in the nation and which is probably the highest producing structured product firm, I would like to make some comments on the practices employed by them and in the industry by general. First of all the process in getting an account approved for structured notes and options is largely a joke. Anyone from an 18 year old
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The
(a) Reportable Transactions
Members shall comply with the Rule 7200B Series when reporting transactions to the System, including executions of less than one round lot. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will not be accepted by the System. Members must use an alternative
