Sirs, In response to your considering controlling my ability to invest in leveraged and inverse funds I believe I should be the one who chooses the right investments for me and my family and all puerile should have access to such investments. I've been using such investments for years and without them would never have been able to retire safely. Removing this type of investment from all
Dear Sir/Madam,
As an American Citizen, I should be able to invest in whatever public investment I choose.
I gave 30 years, putting my life on the line every single day, to protect the rights and freedoms of all American Citizens.
Those rights, that I fought so hard to protect, should not infringed upon. And if I want to invest MY own hard-earned money into something that I am fully capable of
This was my comment: The Reporting of Loan Obligations as Short Interest. Theory suggests that some participants are borrowing shares from ETF's to cover their existing short interest. This only results in the same exposure continuing to exist elsewhere in the market, in effect, the short position has not been closed, but rather, is moved off the books which affects the integrity on both
Dear FINRA, Hope the day finds you well. For 15 Years we have been restricted to Index Funds, Commodities, Currencies and Real Estate (Spouse is MD at Investment Banking Firm). The new restrictions Listed under Rule #S7-24-15 are worrisome as we will have even more limitations on where to invest our monies??? We are a household of MBA's, work hard and clearly understand that any purchase or
To whom it may concern -- I am a fairly knowledgeable investor who looks to maximize my returns utilizing levered funds. I know the risks that go along with my investments and accept those. I do not see where FINRA ought to be involved in creating a nanny-state mentality to protect investors. There are more than enough regulations in the financial sector to cover investors. Additional regulation
This Guidance assists member firms with continuing membership applications (CMAs) as part of the implementation of a succession plan or an exit from the broker-dealer securities business (which may or may not be connected to a succession plan).
<p>FINRA Rule 2210 - Communications with the Public</p>
The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models and processes. While the true implications of the metaverse may not be known for years, the report analyzes potential applications, use cases and challenges for member firms and notes certain regulatory considerations.
As a small retail investor investing for me and my families future I’m glad to hear that sunlight is finally leaking into the shorting faculties of our market. Accurate and honest short interest reporting helps reassure me as an individual investor that larger institutions aren’t abusing gaps in reporting to get an unfair advantage and add instability and volatility to our markets. That being
