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.
This past August, over 250 people at FINRA took two days to find data driven solutions for FINRA. With over 45 teams, there were some amazing ideas that came out of this hackathon. Below are 13 awesome ideas teams came up with.
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.
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!
From our review of FINRA’s website information on diversity and Regulatory Notice 21-17, it is our opinion that your efforts are commendable and on target to promoting and encouraging diversity in the industry and at FINRA. The programs that you have established e.g. your Internal Racial Justice Task Force, Annual Diversity Summit and the Racial Justice Task Force should help identify barriers to
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Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings
WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.
The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6120 (Trading Halts) to conform to recent amendments to the NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks and to make technical and clarifying
