While I believe that no one should invest in anything they do not understand, I do feel that any investor should be allowed to invest in any publicly available investment without restriction. Today, stocks are overvalued, rates and inflation are rising, and the government is printing money like never before. Will it all end badly? Of course it will, but if you put restrictions in place on what
Leveraged and inverse options should be maintained. They are like any investment product, and all licensed brokers or adviser make clients aware of the volatility decay associated with them. There are currently requirements for different levels of option investing, and a similar clearance could be required for those who invest in leveraged equities.
If you wish to remove risk from the market,
Hello, I am writing to oppose restrictions on leveraged index funds. I invest in leveraged index funds. I know that leverage entails greater risk. However, I feel that it is important for investors like me to be able to make our own decisions regarding these instruments. Personally, I look at the past performance of the fund and the index before making my decision. I also consider my own risk
Regulating what I choose to invest in is not the choice of the government or it's regulators. I completely understand the risk of the investments I choose to invest in for my continued growth and wealth in the markets. Public investments should be available to all of the public not just the privileged few. Going through a special process and testing in order to freely invest into the
Summary
FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the Securities and Exchange Commission (SEC) adopted1. The updated imbedded text relates to SEA Rules 15c3-1, 15c3-1a, 15c3-1b, 15c3-1d, 15c3-1e, 15c3-3, 15Fi-1 through 15Fi-5, 17a-3, 17a-4
FINRA imposed $59.8 million in fines in 2024[1], and the Board determined that there were $89.3 million in fines-eligible expenditures in 2024 (i.e., capital initiatives, strategic expenditures and other activities eligible to be funded by fine monies based on the criteria set forth above). Because the total of fines-eligible expenditures exceeded the amount of fines issued in 2024, the balance of $29.5 million was funded from FINRA’s reserves and excess operating results.
You need to put a stop to the market manipulation, specifically on AMC. The last two days there has been more inflow than outflow and yet the price has dropped. 60% of all transactions happen on the dark pools. This is unfair to retail investors. Plus all the additional limitations we have and it seems that no governing entities have our best interest in mind. Seems they are always looking out
Overview
The Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.
As part of the new member application
FINRA has 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. Approximately 100 industry members and 30 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.
Dear Regulators,
We, the underprivileged American public, declare and state that our lives and the lives of our heirs are not yours to play with, so BACK OFF...
How dare you insist that we the, American public, should go through any type of testing before being able to invest in any public securities. It has been proven throughout history that the ability to invest belongs to everyone, not just
