Leveraged ETFs can be a key part of an investors asset allocation. They allow educated younger investors, such as myself, access to margin in a safe way. When used responsibly in conjunction with an age appropriate asset allocation, they can boost risk adjusted returns. I have seen no evidence they are being abused and think it would be wrong to limit their access.
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Notice of Annual Meeting of FINRA Firms and Proxy
Sarah Wallis is Senior Vice President of Regulatory Operations (RegOps) Program Delivery. In this role, she supports FINRA’s efforts to continue strengthening and integrating its regulatory operations. To that end, Ms. Wallis oversees initiatives that advance an integrated operating model for RegOps and establish the standards, best practices, and infrastructure required to drive consistent
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc. or the surviving entity will continue to be a member of the New York Stock Exchange, Inc.;
(2) a direct or indirect
Electronic Filing
Regulatory Notice
Referenced Rules & Notices
NASD Rule 3170
NTM 06-61
Key Topics
Electronic Filing Requirements
Suggested Routing
Compliance
Legal
Operations
Senior Management
Executive
Reviewing and managing your investment account information is essential to ensure your funds were invested in line with your instructions and there were no unauthorized transactions. By organizing your investment records, you'll have information on hand when you need it, including when you file tax returns or if there are problems with your account.
I am a regular investor with goals and aspirations. Why can't I invest a percentage of my assets in leveraged funds? Why do you think this a privilege is just for the wealthy? Please do not think you are protecting me. Instead, you are holding regular people like me back from investing in assets that we believe will improve our investment returns.
Dear FINRA, 5-6-22
I am a private investor who has been investing in the markets for the last 40 years, and have been successful using inverse funds, to include SH, PSQ, DOG to hedge against volatility, and frequent downturns in the markets. I do not think any regulator will be able to know more than I do about my own families personal financial situation. Passing a test first, seems
