Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
For purposes of the Rule 6800 Series:(a) "Account Effective Date" means:(1) with regard to those circumstances in which an Industry Member has established a trading relationship with an institution but has not established an account with that institution:(A) when the trading relationship was established prior to commencement of Phase 2c or Phase 2d (as applicable depending on
Hi, I am an adult and I can take my own risk. I don't borrow money to invest and I response to my investment risk. Thank you.
FINRA has a scaling problem. A problem that is observed in FINRA's inability to provide oversight and accurately regulate institutions as global markets expand and overlap. Transparency in our markets is essential. Transparency with respect to short interest reporting is severely lacking. Not only just the typical direct borrow and short transaction but also the use of derivatives and other
Investors should be knowledgeable of what they are buying and the risks involved, the same as options. If you buy into a leveraged or inverse fund you should be aware of the risks and rewards.
Yes I want to trade what I want when I want . I have read the risk and I weighed the risk. Please let me handle my own transactions
Please do not limit my options trading. I understand the risks involved and should be allowed to make the decision on how much risk I am willing to accept.
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
Leveraged ETFs are important to my investment strategy and I fully understand the risk and mechanics behind them. The risks should be understood by investors but not strict guidelines on usage.
Comments:Please don't make risk choices for me regarding what instruments I choose to purchase. My entrepreneurial risks must be my own in this free economy.
