Options are contracts that give the purchaser the right, but not the obligation, to buy or sell a security, such as a stock or exchange-traded fund, at a fixed price within a specific period of time.
Options can help investors manage risk. But buying and selling options also involves risk, and it is possible to lose money. It pays to learn about different types of options, trading strategies and
5/2/2025 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 RE: Comments on FINRA Regulatory Notice 25-05 and Proposed Rule 3290 Dear Ms. Mitchell, I am writing to express my strong opposition to FINRA’s proposed Rule 3290, as outlined in Regulatory Notice 25-05. While I fully support FINRA’s mission to protect investors, this proposal
I invest in leveraged ETFs and have done so since at least 2015. I understand they are complex and, as a non-professional investor, I understand do not fully understand them. However, I do understand the single most important factor about leveraged ETFs: I am at risk of losing money (and at greater risk versus non-leveraged ETFs). That point is not complex and is not difficult to understand.
What do a Kenyan brewer and a Pakistani cement manufacturer have in common? Both are publicly traded on stock exchanges in frontier markets.
Comment Period Expires: February 16, 1998
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on two proposed rules, National Association of Securities Dealers, Inc. (NASD®) Rules 2315 and 2350, which would require members to review
The proposal is a step in the right direction but could be simplified to make it easier to read in conjunction with other rules. I think it needs more explanation as to the historical reasons behind distinguishing between registered persons and associated persons, and clarification in other rules like 3210 where they are referred implicitly by the rule saying "No person associated with a
fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless authentication and authorization. fileX will eventually replace the different legacy file transfer methods in use today.
Summary
FINRA has amended Rule 11880 (Settlement of Syndicate Accounts) to revise the syndicate account settlement timeframe for offerings of corporate debt securities. The amendments to Rule 11880 establish a two-stage syndicate account settlement process whereby the syndicate manager is required to remit to each syndicate member at least 70 percent of the gross amount due to such syndicate
After reviewing Regulatory Notice #22-08, I, who am a retail investor using leveraged funds for approximately 8 years, believe the concerns and educational requirements being proposed by FINRA to be justified and appropriate. I would like to differentiate between risk levels for various types of products. Leveraged ETFs tracking very large underlying markets such as S&P500, the DOW
