It is important to me that the ability to trade and invest in all public funds, and that ability not be infringed upon by regulators
I am competent and understand the complexity and associated risks trading in leveraged and inverse funds and should not require any specialized training or special access permissions. I do not want my ability to invest in these funds to be limited in any manner.
Just stop with the nanny state already. Enforce the rules you already have and obtain convictions for the fraud and malevolence which are everywhere in our financial markets. If you cannot prevent the looting at the ARK funds, or the huge batch of highly questionable IPO's from 1H 2022, what business do you have regulating leveraged instruments. There was huge risk to investing in
I do not support this rule in the slightest. You cannot fail to define “complex products” and then make such products difficult for investors to access. What if next year, ETFs are considered “complex”? Further, this hurts normal people like me by making it difficult to access investments that have performed well for me (and which I easily understand how they will perform under any market
If the US market looks to be seen as a free market we need to have transparency. Dark pool trading has gone on unregulated to the point of becoming a place where institutional investors can go to hide their elicit trades; this needs to end. All authorized shares should be able to be accounted for at any given time during market hours. Fines and penalties for FTDs and naked shorting of stocks
As a retail investor, I would like to even the playing field with institutional investors by allowing us the same access to information that they have, especially regarding short positions. Also, in addition to that, I would like short positions to have to be reported daily by no later than 30min after closing bell. This is MORE than enough time for them to calculate their total shorts taken that
I’m sure you will get many comments but it would be nice to see more details on how companies are shorted in a given day as well as something which details what is considered market manipulation and how to report it because many “investors” feel they are getting a raw deal with hedge funds. I believe rules should be in place that a hedge fund cannot pay brokers for trade information especially
Don’t trust that unexpected text or direct message from a stranger—it might be the first step in a relationship investment scam. These scams often involve fraudsters contacting targets seemingly at random, then gaining trust before ultimately manipulating their targets into phony investments and disappearing with the funds.
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
The Liquidity Risk Management topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
