The Senior Investors and Trusted Contact Persons topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
I think a free market economy should not need censure of normal accepted commerce activity. Voted against. Here is why:
I think that regulatory overreach ought not occur. It's a free market economy we all participate in, not a private club for special interest groups with an agenda. Anyone with money should be able to transact funds in exchange for securities the market has demonstrated
Comments: I would be against limiting access to the leveraged indexes. These provide both diversity for small investors, while providing outsized returns at a lower cost than mutual funds. The TQQQ grew from $19 in March 2020 to $200 by Jan 2021 before a 2/1 split. It was up 1200% from Sept 2016 to Sept 2021. If FINRA is really looking out for investors, how is limiting such returns in the
1. Require shares to be acquired before they can be sold. It is ridiculous that today shares are often not even located or are only located before actually being sold. Borrow the shares first, then sell them. 2. Better tracking of borrowed shares. It is ridiculous that shares can be leant out multiple times (often because they are only 'located' and not actually obtained before allowed
Regulatory ObligationsRules 203(b) (Short sales) and 204 (Close-out requirement) of Regulation SHO provide exceptions for bona fide market making activity. The SEC has provided guidance on what constitutes “bona fide market making activities” as well as examples of what does not. Firms must also confirm and be able to demonstrate that any transaction for which they rely on a Regulation SHO bona
I believe absolutely that 1- Finra should publish on the FINRA website short interest data for all equity securities (listed and unlisted). 2-potential short interest enhancements discussed above would , YES, be equally beneficial for both OTC equity securities and exchange-listed equity securities. In all I have discovered from public information made readily available on the sub Reddit /
Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
The current downturn in the stock market has hurt many investors. When bond yields were at historic lows in the past year, I continued purchases of 2x inverse 20 and 10 year treasury bond etf's, until they became 20% of my portfolio. This was my hedge against inflationary pressures, because higher p/e ratios cannot be maintained when bond yields rise. My 2X inverse bond holdings have now
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Since the issuance of Notice to Members 84-48, requests for clarification have been received concerning that portion of the Notice dealing with the treatment to be accorded commissions payable.
After further discussion with the staff of the SEC's
Short selling and rehypothecation has been used to the detriment of retail investors and is threatening to destroy the entire market structure if left unchecked. Stricter reporting of positions, including naked shorts should be happening already. Brokerage firms, market makers, and other financial institutions were never meant to have as much control over the financial markets as they currently
