To regulate L&I index funds is a grossly misguided decision. If FINRA seeks to protect investors from complex products, they should instead go after options, derivatives, short-selling, and other truly complicated financial practices. L&I funds are traded by average retail investors like me in the same manner that stocks are traded; they are simple to understand and necessary to
Comments: I've been using Leveraged and Inverse ETFs for a few years now. While there are risks involved, there are risks with investing with Non-Leveraged and Non-Inverse ETFs, and with stocks. Accepting risks is part of investing. Limiting what I can invest in would do more harm than good and limit opportunities in the market. I don't want to see access limited to Leveraged and
I use inverse ETFs to reduce investment risk by hedging my common stock investments. We don't need additional advantages for the privileged, such as limiting access to these investments. I understand the risks of adverse ETFs and don't need protection. As for others, they may not understand the risks of investing at any time. Should we restrict them, how? Is there no responsibility for
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Martin Luther King, Jr., Day: Trade Date - Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, January 18, 1999, in observance of Martin Luther King, Jr., Day. "Regular way" transactions made on the
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Executive Summary
On February 15, 1994, the Securities and Exchange Commission (SEC) asked the NASD to alert its members to a possible fraud involving cancelled General Motors Corporation common stock certificates. The certificates involved were issued prior to January 1, 1984.
Background
According to
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
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Key Topics
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https://www.linkedin.com/in/john-rhodes-14282b1a9/recent-activity/shares/ https://www.linkedin.com/posts/john-rhodes-14282b1a9_finra-requests-information-from-member-firms-activity-6928406241413087233-BSsr?utm_source=linkedin_share&utm_medium=member_desktop_web Let me get this straight, the Securities and Exchange Commission (#SEC) was created to protect investors and maintain fair
Regulatory Notice 08-37 - FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
