During my 40 plus years of trading and investing for both short and long term profits, I utilize both leveraged and inverse trading vehicles to balance my families portfolios in volatile markets. These are important vehicles which provide that investment strategy in balancing market action.
Regulators should NOT interfere nor have the authority to select/provide what investments are available to
As a daily active equity trader, I should be able to choose the public investments that are right for me and my family. I believe public investments should be available to all of the public, not just the privileged.
As long as I can read the disclosures specifically from such investment vehicles, I shouldn't have to go through any special process like passing a test before I can invest
To whom it may concern: I have an MBA in Fnanace - 1984, and have been investing for the past 40 years. Your proposal to start testing investors before allowing to invest in whatever you deem risky is arbitrary, vicious ans smaks of communism! I do not need your [REDACTED] to tell me what to invest in!!!!! Leveraged and / or inverse funds are no more risky than non-inverse funds! They are
Dear Sirs,
I'm concerned about the proposal of "Regulatory Notice 22-08". Indeed, it might be a must for regulators to take certain action on new financial products, but I don't think this restriction can solve the problem. The reason is listed below:
1.What serves as complex product is too ambiguous, that means, investors can’t figure out what investment tools
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Request for Oral Argument
A Party may request oral argument before the Subcommittee or, if applicable, the Extended Proceeding Committee. Oral argument shall be
(a) Form, Service, Notice
Pursuant to Rule 9133, each Respondent named in a complaint shall serve an answer to the complaint on all other Parties within 25 days after service of the complaint on such Respondent, and at the time of service shall file such answer with the Office of Hearing Officers pursuant to Rules 9135, 9136 and 9137. The Hearing Officer assigned to a disciplinary
Investment professionals might hold a variety of designations and other credentials, offered by a multitude of organizations. FINRA’s Professional Designations Database provides information about many of the designations you might see used, including the prerequisites and other requirements for obtaining and holding such designations
I would love to see a more timely and accurate reporting of short positions. No-monthly isn’t cutting it. The manipulation happening right now with retail investors money is blatant and should not be tolerated. Recent events have brought to light how unbalanced and unfair the system is for retail investors that pay budgets for these government reporting and enforcement agencies. The market makers
It is completely demoralizing as a retail investor to see what goes on with the stock market manipulation via shorting, off-exchange trading, and lack of reporting on short positions. The market is only fair if you have enough money to play. The fact that institutions can trade off exchange, use a million different tactics to short a stock (especially high frequency trading), and get fined
Hello Finra! , Thank you for listening to the people about these issues! we really need our voices heard since we might be a lot of individuals but we are not as organized as some big money entities are and we cant express ourselves in a very cohesive way but anyways. Please take a look into short selling taking place in $AMC & $GME and some others that i belive are being manipulated
