While appreciative of the gesture, there must be action behind it. We are in a new era of retail investing and the rules still favor the Goliath's of wall street. Complete transparency and equality in the reporting of data must be enforced. Retail should have the same access to information, data and tools that hedge funds and market makers have access to. More importantly, ACCOUNTABILITY for
Over the past 6 months I have been investing a relatively small portion of my portfolio in leveraged inverse funds to hedge other portfolio positions.
It is difficult to understand how regulators would presume to require a 'test' or other special requirement to invest in these tools.
Certainly, leverage has risks. Certainly, stocks have risks. If you can't accept that
Rulemaking Items for Discussion at the February 2014 Meeting
This is a disgusting overreach by the government.
Retail investors and retail traders should be allowed to invest and trade in whichever financial products that are available to them. We sign numerous disclosures and acknowledge numerous warnings that are standard and provided by our brokerage platforms. We have the capacity to engage in this and should be allowed to take risks as we see fit, and
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
I think this is a very bad idea. Restricting the every day investor's access to inverse funds is yet another way to keep him/ her from protecting a portfolio from any harmful or destructive actions committed by government and Wall Street actors. It would be yet another regulation that is blatantly rigging the game against the little guy. In a free country, people are supposed to be
The government has no reasonable grounds to take this action to decrease the tools available to the average investor for the purposes of 'protecting them' from being able to make their own choices. Inverse and leveraged etfs are specialized and risky tools that nonetheless can be used productively by a skilled retail trader, and more to the point, it should be an individual
The Neutral Corner – Volume 1—2024
Regulatory ObligationsSEA Rule 15c2-11 governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market).1 The rule generally prohibits a broker-dealer from publishing a quotation for any security in a quotation medium unless the broker-dealer has reviewed current and publicly available information
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, we sit down with the leaders of FINRA's new Strategic Intelligence and Analytics team to discuss how they are working to identify and analyze these industry developments.
