Please stop making barriers to the free flow of capital in the USA, which is based in free markets rule. Your political support will loose their power come November 2022.
I am a retail investor that has been successfully trading in leveraged investment vehicles for more than four years. These vehicles are important to my personal investment style and I am very comfortable with the EFT I have chosen.
Through my own study of the EFT and the prospectus provided by the fund, I am well acquainted with the risks inherently involved in the purchase and sale of my chosen
Industry Governor (Small Firm Representative)Chief Compliance Officer, XML Securities, LLCGovernor Since 2024Committee: Regulatory Policy CommitteeProfessional ExperienceXML Securities, LLCManaging equity member (2022 – Present)Chief Compliance Officer, XML Securities, LLC (2013 – Present)Chief Administrative Officer, XML Securities, LLC (2008 – 2012)XML Financial, LLCManaging equity
Dark pool shouldn't be used to manipulate the share price. There also should be a limit of how much the hedgefunds can put in there. When dark pool is being used illegally. Not the way it was intende, there should be severe fines and punishments. Imagine of everyday people could manipulate and cheat every day .....it would be chaos. They get to do all these tricks to get out of being
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
The problem is not the rules... Rules are there already and you know as well as everyone else that the issue is that the rules are for thee and not for me. Enforce the rules that are on the books and stop not only the naked short selling but also the political hacks working for your agency and all throughout the financial industry regulatory authorities. Tell me... How much again did Pelosi make
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 to reopen the period by which certain participants in the Maintaining Qualifications Program will be able to complete their prescribed 2022 and 2023 continuing education content.
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President,
Mutual funds and exchange-traded funds (ETFs) are two of the most common ways for Americans to invest. These investment products have some important similarities, but they also have key differences.
The Anti-Money Laundering, Fraud and Sanctions section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
