PLEASE...Do not punish educated investors by enacting the severe regulations which you are proposing in regards to inverse and leveraged ETFs. I have used these very successfully for many years. They compose an integral part of my investment strategy primarily as a volatility nuetralizer and as a hedge against downside risk. To date, I've successfully avoided punishing 2022 loses-
Just stop with the nanny state already. Enforce the rules you already have and obtain convictions for the fraud and malevolence which are everywhere in our financial markets. If you cannot prevent the looting at the ARK funds, or the huge batch of highly questionable IPO's from 1H 2022, what business do you have regulating leveraged instruments. There was huge risk to investing in
The Executing Firm 10 Second Compliance Report Card is a monthly status report for trades that another firm reported on behalf of the market participant. The report contains counts of properly modified late trades, late trades that were not modified, and improperly modified trades.
Executing Firm is defined as the member that receives an order for handling or
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees
WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.
The Board appointed
June 6, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss senior and at-risk investors.Speakers:Robert Cook, FINRA President and Chief Executive OfficerBrooke Hickman, Director, Member SupervisionChristine Kieffer, Senior Director, Investor EducationKayte Toczylowski, Vice President, Member
Please don't limit investment options for investors. While some may not understand how complex products work, those of us who do find these particularly beneficial at times. For example, since the beginning of 2022 both equity and bond markets have stumbled while interest rates have increased. Because of inverse treasury funds like TBX and TBF, interest rate tracking funds like PFIX, and
Since Monday, December 5, 2022, FINRA is experiencing an issue with ORF clearing messages for transactions that are cancelled, corrected, broken or reversed and thus causing duplicate settlement messages and incorrect settlement amounts for those transactions.
In the interim, until FINRA resolves the issue, FINRA requests ORF clients work with their clearing firms to send the necessary
Since Monday, December 5, 2022, FINRA is experiencing an issue with ORF clearing messages for transactions that are cancelled, corrected, broken or reversals and thus causing duplicate settlement messages and incorrect settlement amounts for those transactions.
In the interim, until FINRA resolves the issue, FINRA requests ORF clients work with their clearing firms to send the necessary
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and
I think that pattern day trading rule for accounts less than $25000 is unfair and I like to be cancelled because small investors like me with account $2000 lose money because of this rule.Exempleon 12/11/12 I had 3 day trades in 5 trading days and I traded earnings on C3AI and because I can not sold the stocks because then my account will be restricted because the stock rises and then fall out I