Comments: I am a long time investor of L&I products. For 20 years I have used these products to successfully grow my portfolio. In 2008, after having done extensive research on the impending undermining of off balance sheet investments done by banks with mortgage securities, I successfully grew my portfolio, in spite of the professional advice given by traditional brokers. I specifically
The Market Access Rule 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.
FINRA 21-19 is something this country has needed for a long time -- financial institutions, hedge funds and the like need to be better regulated. I didn't know a lot about the market before this year, but what I have learned is that there are too many loopholes, and a lack of enforcement of existing regulations, that allows big players to make money at everyone else's expense. Synthetic
The state of the United States financial markets is a disgrace in no small part due to egregious abuse of short selling. Skirting of the current rules and regulations is commonplace and the penalties of such behavior, even when caught, are laughable given the profitability of such behavior. Both the prevention of this criminal activity and bolstering of punishment for said activity must be
There needs to be a far stronger watch on naked short selling that is clearly a major issue in the current market. Investors should have full transparency to what's going on within the markets they invest their money in. The entire world has their eyes on the US Financial system at the moment. The result of the lack of oversight and control has put extreme distrust in the American financial
Beginning in early December 2022, FINRA will introduce changes to the Trade Data Dissemination Service (TDDS 2.0).1 These changes are being made in concert with FINRA’s technical infrastructure upgrade, and TDDS clients should plan to accommodate them.
FINRA has updated the TDDS specification to correspond with these changes and has also included the link to the MOLD/UDP 64 specification in the
Executive Summary
The Central Registration Depository (CRDSM), a computerized database containing information on all licensed registered representatives and broker/dealers, is undergoing a technological upgrade. As part of this project, the NASD has converted disclosure information from its current state (free text) into a new format (Windows-based, with discrete fields and pick lists). This
Individuals should be able to decide how they invest their money. leveraged ETFs are not nearly as bad as investing in "meme stocks" or options trading. Regulating buying ETFs at the start of a bear market is irresponsible and likely something to make people sell their ETFs at a loss.
I want my 3X Leveraged ETFs. I understand that they are very volatile. I experienced the 2020 downturn and the current one. Yet, my stock portfolio is still positive and I'm carrying a very healthy profit. Don't take my leveraged ETFs away.
Regarding AMC class A. If retail owns the majority of the float how is this stock being manipulated unless it’s with synthetic shares. How does one even create such a thing. We need transparency in the market. This needs to investigated.
