Dear sir or Madam, Although I appreciate the concerns for the well being of the citizens. I find more regulation on any investor infringing and destructive. I personally have a Ph.D. in mathematics. I spend great deal of of time assessing risks, creating models to make sure I am making the right decisions. Using leveraged funds is vial in leveraging, since you use a little bit of money to "
I have used leveraged products as a means to capitalize on market conditions. Through research, education, and constant monitoring, I was very successful. I stayed in leveraged products I understood and that were well funs (TQQQ, for example). The smaller riskier leveraged products were not for me, but that was my decision. This is the same as trading options.
What you offer to one you must
Though reasonably well intended, new regulations that make it more difficult for retail investors to access sophisticated investing tools are the opposite of what free market investing should look like. In a time where equal access is of upmost importance, these proposed rules further the perception of inequality that is already a dark cloud in the mind of many Americans who avoid investing for
Summary
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
Applicants are
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.
A formal notice of the NAC election and ballot
As previously announced, FINRA will enhance the aggregated reports and statistics for U.S. Treasury securities. The new implementation date for the enhancement is February 13, 2023. At that time the following enhancements will take place:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on February 14, 2023, for the week ending
The Neutral Corner – Volume 1—2024
As of January 19, 1996, the following 35 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,984:
Symbol
Company
Entry Date
SOES Execution Level
ESTR
ElectroStar, Inc.
12/21/95
200
FRAG
French Fragrances, Inc.
12/21/95
200
HOMEF
Home Centers (DIY),
Limited (Ord Shs)
12/21/95
500
RGNT
Regent Assisted
America is founded on the principal of education and independence. As an investor, I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.
I should not have to go through any process or take a test before investing in any security. As long as we have regulations that financial
Summary
FINRA requests comment on a proposal to expand TRACE reporting requirements to collect information on trades in foreign sovereign debt securities that are U.S. dollar-denominated. Issuance activity in these debt securities has accelerated in recent years and FINRA believes the proposal would provide important regulatory information on an increasingly active segment of the market. Under
