I support the regulation. It is our civic responsibility to deter suicidal actions and for many self deemed investors this is exactly what these financial instruments afford. FINRA has been, and is doing, the right thing.
Your proposed new regulations are totally unnecessary and only puts a burden on both investors and investment services. Notice of the risks are amply provided at this time and further action is useless and a waste of time.
I oppose any and all actions that would restrict the ability of any individual to invest their own property how they see fit, especially rules that intentionally exclude persons based on wealth or income.
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
A person aggrieved by final action of FINRA under the Rule 1010 Series may apply for review by the Commission pursuant to Section 19(d)(2) of the Act. The filing of an application for review shall not stay the effectiveness of a decision constituting
I am fully aware of the risks of these investments. I should be able to decide how I invest my money, not you. You are attempting to infringe upon the rights of citizens by your proposed actions. Stop!
By Karen Braine, Vice President, Surveillance and Market Intelligence, Insider Trading DetectionFINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide — over 450 referrals in 2023 alone — routinely result in criminal and
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Executive Summary
Effective January 1,
Request more transparency. Retail investors should have visibility on all exchanges and they should be immediate. Current technology makes this possible. T+2 system is a relic of an antiquated system. The current system architecture puts all the advantage to large firms that have access to information that is either restricted or delayed to the retail investor. This obviously creates an un-level
The FINRA Board of Governors will consider the following rulemaking items at its July 2011 meeting. After the July 14 meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.
Comments: As part of a long-term, diversified portfolio, a minor portion of my holdings lie in leveraged ETFs. The largest risk associated with these leveraged funds equates to nothing more than simple mathematics. An additional risk, which has already proven true in the past for other financial tools, is the prohibition of the common investor and trader from the use of these instruments.
I am
