If I stole from a store I would end up in jail. But when the hedge funds does it. It’s creating a market. Double standard. They are stealing from the American people’s wallets. The same ones that pay for you to secure the exchanges. Which it is not being done. This makes me lose faith In the American stock system if all we are gonna do is lose our money to fake stocks and dark pools. I can’t
It is our rights to buy or sell all the public traded funds. Every stock or fund traded publicly has its risks and we understand it well. We as small investors shouldn't be discriminated by this restrictions. We need the freedom to decide which stocks or funds we want to buy as they are very important tools to achieve our long-term financial goals.
All investments contain risk. Leveraged index instruments in particular do not carry any higher risks, say, than pre-revenue stocks or stocks that generate negative earnings. Even blue-chip and/or trusted companies can rarely be held forever (e.g. NFLX).
FINRA: either impose these draconian measures on all these investments or leave then all alone.
Dear Regulators:
I use a leveraged ETF on the Dow Jones as a SAFE way to invest and supplement my income in retirement. The moves are relatively small , up or down, and because the market - unlike stocks moves in both directions as opposed to stocks which move in a trend - my losses can be minimized or offset. Please do not take these index funds away.
Comments: FINRA should stop trying to prop up the stock market and keep its nose out of retail trading. They are just trying to prop up what will be a dying stock market to protect all of the institutional investors. I urge them to back off and make no further changes to freedoms in the market. Let the market be open and free with no further interference.
The ability to invest how ppl want to invest it critical. I use inverse or leveraged inverse funds to mitigate my stock exposure during volatile times without having to sell stocks and pay capital gains. Eliminating my ability will cost me money as well as restrict my freedom. I strongly encourage you to scrap these unnecessary plans.
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints
WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written
FIA PTG Principal Traders Group 2001 K Street NW, Suite 725, Washington, DC 20006 | Tel +1 202.466.5460 March 8, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Regulatory Notice 15-13: Trading Activity Fee (TAF), May 5, 2015 Dear Ms. Mitchell: The FIA Principal Traders Group (“FIA PTG”) 1 appreciates the opportunity to comment
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
On April 12, 1984, the SEC issued Release No. 34-20853 requesting public comments on the NASDAQ Options Program. The text of this release, together with a document which provides an overview of the NASDAQ Options Program and a fact sheet highlighting major features of the program, are enclosed with this notice.
The
1) What is the single most neglected area in the field of investor education? How might this area be developed? ANSWER: While the barrier of entry to investment markets is lower than ever with online low cost trading platforms, etc. - the technical knowledge required to make informed corporate investment decisions, creates a huge barrier to the average investor. A single most neglected area is
