I have been a long term investor in leveraged products for more than 12 years. I am a responsible and an educated investor with these type of investments. My broker, TD Ameritrade provides a warning every time an order for leveraged/inverse investment is made. These are not Meme stocks or high risk options that need any sort of regulation. In fact, meme stocks and options are the ones that need
Putting a capital requirement on freely trading leveraged etfs just adds another barrier to entry for lower income people to enter the stock market. All brokers already clearly state the risks when people trade these products so everyone should be able to determine for themselves whether its right for them. The stock market shouldnt just be a playground for the wealthy it should be for everyone.
While it may seem reasonable and prudent to limit access to leveraged ETFs to novice traders, experienced traders with 2 years of experience or more, should be able to enjoy the full and unrestricted freedom of trading such instruments. However, the following measures should be implemented: -Restrict the trading of all leveraged ETFs to accounts with balances under $10 000 USD for traders with
A member that is a trading center in an NMS Stock shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the requirements of the Regulation NMS Plan to Address Extraordinary Market Volatility (Plan) and specifically to prevent:
(a) the execution of trades at prices that are below the Lower Price Band or above the Upper Price Band
selling short is a very important part of a free market
Arbitrator Training
Training Module
Arbitrators must complete the Expungement training course and pass the exam with a score of at least 80%. It is available on FINRA’s training platform.
Expungement Training (Module 16)
Enhanced Expungement Training - NEW
The Enhanced Expungement Training provides an overview of revisions to the Codes of Arbitration Procedure to
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Senior ManagementLegal & ComplianceOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently adopted seven rules ("Rules") under the Securities Exchange Act of 1934 requiring broker/dealers engaging in certain recommended
The Anti-Money Laundering, Fraud and Sanctions 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.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities which provides, with certain exceptions, that no member
I consider it vital that ordinary investors retain the right to invest in leveraged, inverse funds such as UVXY. During market declines, these are frequently nearly the only investments that go up, while everything else goes down together like a flock of birds. During the financial crisis of 2008, I was wiped out because I only invested in stocks which my investment letters assured me would be
