I have a regular investment program that is long the market during part of every month and short during another part. It's been working fine for years. Being able to be in a short mutual fund or ETF does not "pick on" any particular stock. It just is a way to hedge other investments in case the market goes down. It is a more conservative way to invest that just
Business continuity planning—or “BCP” for short—is a term most of us have heard. But do we really know what it means? And how important is it leading up to times like these, as we navigate our response to the COVID-19 pandemic?
One person who knows the answer to both questions is FINRA’s own Sarah Roberts, an Associate Director in Corporate Real Estate
Helping to ensure that FINRA is prepared
I OPPOSE RESTRICTIONS ON LEVERAGED AND INVERSE FUNDS.LEAVE WELL ENOUGH ALONE.
C&C TRADING L.L.C.35 MASON STREET, 4TH FLOOR, GREENWICH, CT 06830C. L. KING & ASSOCIATES, INC.NINE ELK STREET, ALBANY, NY 12207C2M SECURITIES, LLC7315 THREE CHOPT ROAD, RICHMOND, VA 23226CABIN SECURITIES, INC.6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223CABOT LODGE SECURITIES LLC425 N MARTINGALE RD, SUITE 1220, SCHAUMBURG, IL 60173CABRERA CAPITAL MARKETS, LLC227 W.
The Reg BI and Form CRS 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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to September 1, 2021 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
Comments: All investing involves risk. Stocks, Bonds, Mutual Funds, ETFs, Commodities, Currencies. Imposing sanctions, regulations on a specific sector or industry that market "complex products" is arbitrary, biased and prejudiced when not imposing the same sanctions, regulations on other risk assets as Stocks, Bonds, Mutual Funds, ETFs, commodities, etc. Those who market these "
To whom it may concern,
I request you do NOT add new requirements or restrictions to those funds deemed "complex." The term itself can be vague at best and requiring consumers to jump through arbitrary hoops still doesn't reduce the risk of harm in any way, but it could potentially exclude individuals from benefiting from their added diversification.
As a recent
I write to you in strong opposition to the proposed rule changes to which this public comment refers. I understand and applaud FINRA's desire to protect consumers - however I must insist you find a different way to do it. Simply restricting my access as an individual investor to a broad range of investments doesn't serve to protect me - it serves to drive my investing into
