We do not need further regulations on funds which can be invested by normal people. Further limiting parties who can invest in these funds removes opportunities for investment equality as well as potential economic growth. Any stock market investment should be considered for risk. There is already significant notifications as to the additional risks involved in a leveraged fund. Please do not
This is disgusting!! once again, you limit the options for the average american and give even more advantage to the rich in the stockmarket! Obviously, your motive is to prevent declines in stock prices,90% of which are owned by the top 10% of the population. Leveraged and inverse funds are easier to trade and safer than options and futures. The rich don't need any more advantages than they
I strongly oppose this arbitrary regulation that arbitrarily singles out leveraged and inverse etfs to high net worth individuals. This is clearly a case where regulators are falling prey to political pressure to "protect" investors. These funds are incredibly useful in instances where trading futures is not available. In addition, the risks inherent to inverse and leveraged funds are
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On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike.
AML isn’t just a regulatory issue; it is a national security concern. AML is essential to ensuring the continued functioning of our financial system; and every firm, no matter the size, needs to get
FINRA is committed to ensuring that all respondents are treated fairly in the disciplinary process. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the disciplinary process.
FINRA's disciplinary proceedings are governed by the FINRA Code of Procedure (the Code). You should consult the Code
The FINRA Board of Governors meets this week in New York for the final time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
(a) Reportable System Transactions
Members shall comply with the Rule 7100 Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
