I do not initiate any investments on margin. I use my own funds for investing in leveraged etfs. If a firm wants to provide leverage for me with their investment vehicle, I should have the right to utilize it without any interference from your organization. The last time I checked, this is still a free country, although sliding into the abyss, rapidly thanks to organizations like yourself. It is
I oppose restrictions to my right to invest in TQQQ, SQQQ and other leveraged products. I have been investing in these products for years and they are no more risky that any other stocks in the market. Anybody trading in the market has to understand that there is risk involved and chooses to take that risk...regulators should not try to babysit investors by trying to tell them which stock or fund
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President,
(a) General
Except as set forth in paragraphs (b) and (c) of this Rule or otherwise set forth in this Rule Series, the compliance date for this Rule Series is the date of Commission approval.
(b) Clock Synchronization
(1) Each Industry Member shall comply with Rule 6820 with regard to Business Clocks that capture time in milliseconds commencing on or before March 15, 2017.
(2) Each Industry
(Centro de Reclamo para el inversionista)Most business in the securities industry is conducted fairly, efficiently and in a manner that satisfies everyone involved. But problems can arise. If you believe that a brokerage firm or other industry professional has treated you unfairly, contact the firm to see if you can resolve the issue. If you are still not satisfied with the firm's response,
