NASD Notice of Meeting and Proxy
Impact: All Firms
Update (June 22, 2023): The link to the Advisory issued by CISA on June 7, 2023 has been updated to reflect CISA’s current guidance.
Firms should review this information with any vendors who provide information technology services to the firm.
As a result of an increased threat of ransomware potentially impacting FINRA member firms, the Cyber and Analytics Unit (CAU) within
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in personal losses. Protection of senior investors is a top priority for the Financial Industry Regulatory Authority (FINRA) and is the focus of several rules intended to thwart financial exploitation.
I understand the risk of leveraged and inverse funds well and do not want any restrictions imposed on me.
I understand the risks of leveraged ETFs very well. There is no reason to restrict trading on theses products to anyone.
I enjoy investing in some of the leveraged ETF. I am aware of its risks as well as its benefits
This will not go over well and will result in many long term issues due to the wealth gap it will exacerbate.
The information on this page only applies to organizations without Super Account Administrators (SAAs). See the User Accounts Certification Process for Super Account Administrators (SAA) page for information about the certification process for broker-dealers, funding portals, investment advisers and US-based regulators.When is the 2025 User Accounts Certification Period?The 2025 User
I use funds like FAZ, SDS, and SQQQ as portfolio insurance to mitigate the wild market gyrations we have witnessed in 2008/2009, 2020, and even right now(?). Using funds like these I can achieve strong upsides in a down market while my losses are limited to what I have invested. Instead, regulate the program selling, the short selling, the futures market where I could lose far more than my
I trade in ETFs all the time and I understand the proper use of such investment vehicles. I do not need the anyone to tell me how to invest. It is my responsibility to educate myself and my broker, Schwab, has been helpful with tips, training programs, and advice. If i ran my investments like the government runs the national budget, I would worry, but I do not. Get your hands out of my pocket and
