Oppose the restriction of trading leveraged ETFs. Have been trading them for client's for portion of overall portfolio allocation that is suitable. Educating is fine .. restriction not so much.
Dear sir/madam,
I understand the risk of leverage and inverse etf trading or buying for my account. So please let us keep trade or buy.
Thank you
I've been trading for years and completely understand the risk in what I buy. You win some, you lose some that's the way life and trading goes.
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security
I am a retail investor with approximately $1M in investments, spread over several accounts. I routinely trade leveraged and inverse ETFs as a small portion of my overall investment as part of my overall risk management strategy. Though these ETFs are a small percentage of my total assets, they sometimes form a larger percentage of an individual account, as I concentrate all these trades in a
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
Beginning Friday, September 29, 2023, an enhancement to the client certificate request process will be introduced, and FINRA API clients will have additional encryption options during their recertification process. Clients will still be able to retain the client certificate size of 1024 bit, but will now be given choices to increase this size upon a certificate renewal.
Please see the technical
Dear Sir or Mz, Please do not put into place any regulation or test which would impede a retail investors ability to trade leveraged index funds. Trading leveraged index funds such as ProShares funds is a convenient, easy way for a small investor to make a good living. There is always risk in any trading activity. This is well understood by the great majority of traders whether small or
The Anti-Money Laundering, Fraud and Sanctions 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.
Order entry personnel are not required to register under Series 55 as equity traders based solely on the fact that they enter orders into routing systems, which send the orders to clearing firms for execution. Also, not all persons to whom equity traders report need to be Series 55 registered.<br/>
