The Manipulative Trading topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Limited use of leveraged and leveraged inverse ETFs serve an important part of our family's investment portfolio; the risks associated with these products -- the impact of volatility on returns, tracking errors associated with holding leveraged ETPs longer than 1 day, etc. are *very* clearly spelled out in each ETP's prospectus, with most going so far as to provide tables to
Comments: The idea that leveraged products are more complex than the operations of other fund types seems absurd. Investments of any sort require an understanding of the operations of the fund and this is in no way limited to leveraged and inverse products.
Individuals choosing to invest need to be able to decide which investments are right for themselves and their family. Undue restrictions to
Members may use the FINRA/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 6300B and 7200B Series, as well as all other applicable rules. The Rule&
Members may use the FINRA/Nasdaq Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/Nasdaq Trade Reporting Facility must comply with the Rule 6300A and 7200A Series, as well as all other applicable rules. The&
Gene DeMaio is the Head of Regulatory Services Management in FINRA's Market Regulation and Transparency Services (MRTS) Department and is responsible for managing FINRA’s relationships with securities exchanges and other entities for which FINRA performs regulatory services. Prior to this role, Mr. DeMaio led the Options Regulation and Trading & Execution Examinations
Real-time trade activity for Collateralized Mortgage Obligation (CMO) Securities below one million. Since the fixed income market is less liquid than most markets for stocks, there may be no trade activity in a security for a period of time. See Weekly CMO Files and Monthly CMO Files for data CMO quantity over one million
I would like to ask that you not restrict investment in leveraged or inverse funds to a select few who meet certain standards.
The United States has opperated for a long time with a free market in which people are able to invest and engage in unrestricted legal activity that accrues to their own benefit or loss. Your goal as regulators should be to protect people from crime by others or from
I don't agree with FINRA to set restriction for us to invest into stocks the public securities such as leveraged and inverse funds freely as what I have been doing to protect my investments. I and my family should be protected the right to invest in all public securities product not just the privileged.
It is extremely important for my investment in my retirement account that I have been
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
