The arranged financing programs absolutely need to be reported as in this proposal regardless of possible “costs” anticipated. How else will we know what baskets of complex TRS type swaps contain the shares we rightfully own but have been hidden so as to hide FTDs.
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is planning to implement enhancements to the FINRA equity trade reporting facilities to support the reporting of fractional share quantities. The enhancements require associated updates to FINRA’s trade reporting guidance, as described in greater detail in the Trade Reporting Notice. These enhancements are being
Different investment products and strategies involve different degrees of risk. So what level of risk is too much? This depends on your risk tolerance—the amount of investment risk you’re willing and able to accept—which is impacted by a variety of factors and is unique to you.
I strongly oppose regulators determining which investments are the correct ones for me and my family.
Our industry needs to focus more time and effort on educating the general public and engaging with younger demographics K-12 students to help develop financial literacy programs at a younger age.
Investments should be available to everyone, not just the wealthy or privileged. If regulators are
To whom it may concern,
Leveraged funds play an important role in my overall portfolio management program. I am fully aware of the volatility that these funds experience. I use this fluctuation to enhance my returns, although I rarely trade them. I usually just buy them and let time provide the returns.
Summary
Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend. In particular, a
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@claims-finra.org.” The domain of “claims-finra.org” is not connected to FINRA and firms should delete all emails originating from this domain name.
I am a Financial Advisor with LPL Financial and have been in the business for over 30 years. I have been using Proshare inverse ETFs with client portfolios purely as a hedge in accordance to LPL firm guidelines and limitations. My clients are generally pre-retired or retired folks, none of whom one would categorize as super rich. I comply with firm requirements and limitations related to the
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at
