The current information safeguards for investors appears responsible and appropriate. Absent hard evidence of abuse, misunderstanding or the like, there does not appear to be a compelling need for increased regulatory involvement in this type of vehicle.
A firm is under a continuing obligation to update changes to information about the firm. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Leveraged funds are an important part of my investment strategy. Information on these funds and their risks are readily available to public investors. Restricting these funds to only a select few would be harmful to the general public.
Please allow me to object to your FINRA Reg. Notice #22-08.
Kindly inform me of the rationale you are using to justify a
restriction on the public's option to invest in leveraged and inverse funds.
I do not need a regulatory board telling me I am too poor or too under informed to take a risky financial investment. I should have equal rights to all other investors.
Information about leveraged instruments is readily available online and via any broker. I don't think any additional regulation is needed, and I'm concerned that such regulation would unfair to some investors.
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The National Association of Securities Dealers, Inc. (NASD®) is working to help make member firms aware of guidelines to begin trading in
I understand the value of short selling. I understand it is a mechanism to root out unsavory characters that may be using subversive tactics to artificially prop up a stock/ security, however I do not understand why, in 2021 we as retail investors do not have access to the same information at the same time as institutional investors? how is that a free market? again its 2021 and we have internet
1. All short sales must be reported to FINRA by the end of each settlement day and made public by the beginning of the next settlement day. - FINRA must automatically pull the information by market close electronically (i.e. NO self-reporting) 2. All unused loaned shares must be reported to FINRA by end of settlement day and made public by the beginning of the next settlement day - FINRA must
