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.
During its July 12 and 13 meeting, the FINRA Board of Governors Re-elected Eric Noll as chair, re-appointed public governors Deborah Bailey, Lisa Fairfax and Maureen Jensen, and approved three rulemaking items.
I oppose restrictions on my right to invest my own monies in any of the publicly traded securities which I choose. I do my research and if a security fits my investment and risk criteria, then I should be able to invest in it. Leveraged and inverse funds can be an important part of an individual's investment portfolio, providing enhanced potential returns without the risk of margin
I traded stocks from years 2000 through 2019 with little success. In mid 2019, I developed a strategy using leveraged funds, particularly UPRO, which tracks the S&P 500, that I am very comfortable and successful with. It worked during the pullback in March 2020 and during the following bull market through December 2021, and it continues to work during these turbulent times. PLEASE
To whom it may concern,
I am opposed to any additional restrictions that may be placed on my ability to invest or trade invest in leveraged and inverse funds. I have invested in these ETFs for several years and have lost and made money. It seems very condescending for an agency to tell it's citizenry what is safe and what is unsafe when the government itself is bankrupting America by
I believe access to these funds should not be limited, but I believe an understanding of the risks associated with their purchase should be affirmed by the purchaser. I am a retired Registered Investment Adviser and use inverse and leveraged products to hedge my personal accounts. This is an inexpensive approach to hedging that does not involve options trading. But I believe the ownership of
My account balance is under $10,000 and I have used the triple leveraged ETF's for over 3 years. The bid/ask spread on option prices expands during volatile market drops making it near impossible to buy/sell contracts. Meanwhile I'm still able to enter and exit trades in triple ETF's during these trying market periods. Do not take this investment opportunity from small
I oppose any restrictions on my freedom to invest in the stock market. This is a overreach by the SEC. I use leveraged funds in my day to day trading to increase returns minimize losses in down market situations. I have been using these type of funds since 2018. I should not have to go through any special processes, approvals or delays in trading. Its my money and the right to do as I wish with
Note, this is an implementation date change.1
Effective Tuesday, August 30, 2022, the FINRA TRACE, ADF and ORF Web API reference data downloads will no longer be accessible using the Transport Layer Security (TLS) 1.1 protocol. FINRA will disable TLS 1.1, and firms using that protocol will not be able to establish connectivity to FINRA’s secure web servers to download the files. To gain access
I am totally against SEC Proposal Rule #S7-24-15. I do not need the Politicians of Washington to protect me from my own decisions on how to invest my hard earned money. I certainly understand the risks in investing in a variety of assets as well as the potential benefits. If you want to focus on areas that are important to me:
1. Hold Chinese businesses to the same standards of review as U.S
