This new purposed Rule is very concerning and cause's more harm than good, It is not the job of Regulator's to decide what individuals can purchase.The autonomy of what an individual buys with their own money, that should be in there hands, only their Hands. allowing individual investors to utilize these tool, provides access to more affordable professional strategy's! THIS IS OVER
I fully support any and all changes to the reporting procedure that create a more accurate picture of current shorting activity as well as any related naked / synthetic shares that may have 'inadvertently' found their way into the float numbers. As a shareholder I think regulatory agencies have favored the Market Makers for far too long and the powers given to these entities have been
First off, the amount of corruption in today's market is unbelievable. To see FINRA, an organization that is supposed to protect the integrity of the market; come out with baseless claims to try and keep the public from arguably the safest investment opportunities the market has to offer, definitely seems as if there's an agenda that's not in the best interest of the
Please do now impose on our/my ability to use leverged and/or inverse funds. These play important role in my investment strategies and some of us are unable to trade futures, so they are the only entity we have to trade in a leveraged fashion. I understand the risk involved and a believe that most that do trade inverse and leveraged funds also have that understanding. I'm sure some don
As GOD as my witness, I have the right to invest in any legal entity as I see fit and you should have no opinion or restrict my process in any way whatsoever to do so unless it is in defense of our Constitution.
To those of you who believe otherwise, you have no right under the constitutional laws of OUR GREAT COUNTRY to oppress us "WE THE PEOPLE OF THE UNITED STATES OF AMERICA"
I read the prospectus, and understand the vehicle. I do not need undue requirements put upon me in order to trade these particular securities. Instead, you, (FINRA, the SEC et al) should simply do your part by making sure these particular investment vehicles meet your applicable requirements (just as you would any other reporting entity), and let the investing public, myself included make our own
OverviewFINRA is providing this checklist to help members assess their obligations under the SEC’s Regulation Best Interest (Reg BI) and Form CRS Relationship Summary (Form CRS). The checklist is not a substitute for any rule. Only the rule can provide definitive information regarding its requirements. Interpretive questions should be directed to the SEC, at [email protected]. You should
I am new to investing as a retail investor, but one thing that has been clearly revealed is the lack monitoring and action taken on the hedge funds and other entities when shorting stocks/companies. That the SEC doesn't do anything to stop the naked short selling occurring in the market reflects that the only people allowed to make money in this market are the ones who get away with it given
A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
The Technology Management topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
