FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
Dear Sir or Madam,
Leveraged and inverse funds have a place in the equity market. Mostly used short term they can be an effective method of investing in certain types of markets. Although they are higher risk, long term they have proven to have an excellent
rate of return. An investor should not be controlled on how to invest any portion of their assets. These types of etfs are based on stocks.
I have found leveraged and inverse ETFs to be extremely valuable in managing the risk in my personal portfolio without having to try to do so by shorting stocks, which carries significantly more risk. There are plenty of warnings and disclaimers when buying these securities, or even reviewing them, to alert investors of the risks. It would be detrimental to my investment strategy if access to
From Monday, September 26, 2022, through Friday, September 30, 2022, the FINRA Test Facility (NTF) for the OTC Reporting Facility (ORF) will not include the trade reporting nanosecond enhancements FINRA previously announced. All other ORF testing functions will be available during this week, including TDDS 2.1 data dissemination.
Effective Monday, December 5, 2022, ORF will begin supporting
We, the US investing public, need the ability to "short" stock market indices, equity sectors, currencies & commodities, just as the institutions do, to hedge our portfolios and protect the downside in our investment accounts. To not be able to do so would punish the "little guy" and provide all the benefit to the big institutions. We individual investors are acutely
I understand the concern over novice investors utilizing securities they no little or nothing about. The same could be said for novice equity investors - do they understand the companies they are buying? I oppose any further regulation on my right to invest in public investments. Leveraged ETFs are an important tool to use in hedging equity portfolios and for those of us managing retirement funds
Hello,
I am not really clear why FINRA is involved with leveraged or inverse ETF's / funds.
Every investor signs an agreement with each and every broker (account) that they have in that they have the insight or knowledge of the stock market to make these decisions (as well as option trading) on their own without regulation.
In my mind this does "NOT" need to be
"Fines" = "hush money". Put the illegal shorters in jail SOON! Stop building your evidence because it's already been done for you via Overstock.com via gamestop via New Mexico vs. Banks. If the policies are preventing prosecution, put a vote to change them. Not next election, TODAY! This conflict of interest happening with your revolving door has got to stop TODAY! These
IMPORTANT
TO: All NASD Members and Other Interested Persons
At its November meeting, the NASD's Board of Governors determined to take several actions in the area of short sale regulation in the over-the-counter securities market. This notice summarizes these actions.
Reporting of Open Short Interest Positions
The first such action will require members to report to the NASD, for purposes of
Hi I grew up in the late 70s 80s and 90s. Graduated college in 2001 after a 2 year break between high school and college. I got a degree in Environmental Science. Its worthless. How are those California wildfires going, oh and more like Hoover Dayum. Am I right? Who needs water in a desert.. seriously. We went to war with 2 of the wrong countries and the economy tanked more than once. Great
