I want a more transparent market for retail investors. Live accurate data that isn't 2-30 days delayed and partially reported. It is a distinct disadvantage that retail has when it only gets part of the picture. I also would like to see more regulations and stiffer penalties on naked short selling. The fines that are handed out for FTDs and naked short selling are a drop in the bucket to
It always seems that FINRA's only job is to help large institutions to keep their advantages over retail traders. You already make it disadvantages to trade options and futures. Now you want to add leveraged ETFs to that list. How about focusing on things that are really a problem such as the advantages given to market makers and dealers through paid order flow. It is clear that FINRA
Thank you for taking time to read my comment. My biggest concern with this is what's next? The volatility of these products can be large, but there are plenty of very high volume company stocks with even more volatility then these 3x ETFs.
Compare UPRO with GME, AMC, SNDL, even TSLA. I would be at a loss to understand why I would be limited to trade UPRO but still be able to AMC, GME and
Using leveraged funds provides me a great opportunity to improve my performance and hedge my investments against market cycles. Taking away these investments at this time would drastically affect my ability to invest especially doing it when the market is down a large percentage already this year. Anybody who makes investments in these products is already warned with a message/notice about the
I lodge my comment on FINRA Regulatory Notice #22-08 opposing the proposed action by FINRA. Investors have legitimate risk management reasons for investing in leveraged and inverse funds as part of their retirement or other plans. Personally, I use these funds to mitigate the risk in my bond portfolios to interest rate increases that negatively impact these fixed income valuations. I understand
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
I oppose any restrictions by FINRA or any other regulatory bodies on my right to invest in publicly available investments such as leveraged and inverse funds. You couch your actions as protecting individual investors. We do not need your paternalistic [REDACTED]. Take it elsewhere. There should not be any special process, including passing a test or net worth test, or any of that crap to invest
FINRA is committed to maintaining secure applications and infrastructure as we strive to protect the data we handle. We wish to encourage security researchers to report vulnerabilities in order to help us keep our enterprise and data safe.
Sec. 8. Meetings of the Board shall be held at such times and places, upon such notice, and in accordance with such procedure as the Board in its discretion may determine. Special meetings of the Board of the Corporation may be called by the Board, the Chief Executive Officer of the Corporation, the Chair or the Lead Governor. Each of the Chief Executive Officer of the Corporation and
It shall be considered conduct inconsistent with just and equitable principles of trade for any member to refuse to take any action that is necessary to effectuate a final decision of a FINRA officer or the UPC Committee under the UPC Code (FINRA Rule 11000 Series) or other FINRA rules that permit review of FINRA decisions by the UPC Committee.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
