The Market Access Rule topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
It is of utmost importance that people have the full freedom to deploy their money into whatever they want without major obstructions.
As it is, to protect investors, ETFs already have disclaimers, which spell out the risks. In addition, some broker accounts won't even let investors buy some ETFs or penny stocks unless the risk profile is set to be "aggressive".
When
I am an individual investor. I believe that I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. Certainly I understand
Sir/Madam,
Please do not restrict my ability to make investments in the stock market however I choose to make them. By limiting my access to inverse and leveraged funds, you are effectively reducing my ability to improve the outlook for my retirement future. I am aware of the risks involved, but these risks are, in my mind, no greater than the risk already inherent in the market itself, but with
August 22, 2003All firms that report data to OATS directly or via a third party and all third parties that report data to OATS on behalf of a member firm must register with OATS and obtain an Administrator User ID and password. Once this initial Administrator User ID and password is established, the reporting party may then request additional user accounts with which to submit data and/or view
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The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
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
I oppose restrictions being considered associated with certain investment instruments, e.g., cryptocurrency funds. Various financial instruments are critical to portfolio diversification and risk mitigation. Commodities, precious metals, real estate, hedge funds, stocks, bonds, mutual funds, exchange-traded funds, annuities, insurance policies, trading on margin, short-sales, futures, and
It is my responsibility as an investor to understand the dangers of any investment I make, not limited to leveraged funds. In fact, Leveraged ETFs are much safer than certain other instruments such as options.
Leveraged ETFs provide a valuable addition to various portfolios for hedging and certain long term risk parity portfolios.
Do not restrict these to individuals with high networth
It has come to our attention that under the regulations being considered by FINRA I may not be able to buy leveraged and inverse funds like TQQQ, SQQQ and others. I would like yo urge you to NOT implement these regulations. These funds are important to my and my husbands investment strategies and restricting these funds will hurt both us and others we have encouraged over the years to use to
