The individual investor should be able to choose the public investments that are right for themselves and their family. Public investments should be available to all of the public, not just the privileged. not regulators the regulators should stay out of how the public makes their trading decisions. Perhaps the regulators should look at Members of Congress that trade in insider information
The Liquidity Risk Management topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
I would like you to leave leveraged ETFs alone. I should be able to choose to have a risky security in my portfolio. At WORST, I would be willing to accept a qualification process based on risk tolerance, but not amount of income or assets, or experience. I,e a poor but educated and informed aggressive investor should not be prohibited.
Thank you
I oppose these proposed regulations because I already have full access to information about the risks of inverse and leveraged funds and further federal gatekeeping is not needed or welcome. Especially in markets that reflect the heavy hand of the Federal Reserve investors ought not be barred from protecting their own financial interests with a full range of investment tools.
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
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I support these modifications. I believe that minimizing the reporting gap will limit some types of short selling abuse and market manipulation. Hourly synchronized aggregation and reporting of this data is possible with modern computing and would limit the gray zones in which HFT’s can exploit informational lag.
There needs to be accurate, timely, and mandatory reporting guidelines around short interest. Accurate and timely would be the important part for the individual investors. The mandatory reporting would be for institutional investing. There are currently too many ways to misrepresent and obfuscate actual short interest information.
I’m looking for (and I’m sure MANY other investor as well ) further transparency on short sales and short interest reporting, I feel as though there might not be all the information available to the public and need reaffirmation that I can trust the market I’m investing in, many thanks!
Please do not restrict investor access to complex and leveraged products. Yes, there ought to be disclosures of risks and transparency around fund mechanisms. In other words: informed consent. But barring access is undemocratic and wrong. Many leveraged funds are useful tools for investors who lack the requisite capital to use futures to achieve leverage.
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
