The Consolidated Audit Trail (CAT) 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.
I wanted to voice my opposition to SEC Proposed Rule #S7-24-15. As a consumer and investorI feel it is might right to choose investments that I have researched and vetted while being free of regulatory restrictions. The SEC needs to understand that with the Internet people are more informed than in the history of investing in the United States and are able to make informed decisions without
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
Let me make my own informed decisions. I need more choices.
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Underwriting
Debt Securities
Operations
Rule 6200 Series
Transaction Reporting
Executive Summary
On August 8, 2003, the
Member may not present related performance information to "qualified institutional buyers" who are potential investors in 3(c)(1) funds.
Short sale, short interest, fails to deliver, hedge funds using the same collateral for different margin accounts and loans, and all dark pools information should be made available to the public as daily reports as LIVE FEEDS. Data Science algorithms can reveal how these market manipulators are stealing money from retail investors. Data and information should be available as LIVE FEEDS just like
As a relative newcomer to investing short interest seems to be a very complex subject to understand the situation regarding a company's share price and its analysis. Simple, accurate and timely information would help make a more informed decision on where to invest hard earned money. As such I feel information reported should be equally simple. Number of short positions opened, number of
Short sale, short interest, fails to deliver, hedge funds using the same collateral for different margin accounts and loans, and all dark pools information should be made available to the public as daily reports as LIVE FEEDS. Data Science algorithms can reveal how these market manipulators are stealing money from retail investors. Data and information should be available as LIVE FEEDS just like
I am fully capable of assessing risks of inverse and leveraged funds. I've used them for years. I have over 35,000 followers on social media, and I help to educate them regularly.
I believe you could inform the public of risks through "warning label-like" statements such as giving examples of how one can rapidly lose money using a leverage fund while the market is
