Dear FINRA,
I am hereby writing to object to the rule enhancement articulated on Regulatory Notice 22-08, which proposes a restriction on investors' ability to trade complex products and options.
I clearly understand your concern about investors making uninformed investment decisions on options and complex products specifically to leveraged or inverse exchange-traded products. However,
In observance of Memorial Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, May 30, 2022. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA
In 2022, FINRA developed an enterprise-wide strategy to ensure preparation for an evolving crypto asset regulatory landscape with the creation of the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, which originally aired in August 2023, we learn more about the strategy and the role of the Hub.
How do I entitle someone to access an eFOCUS report?
Where are eFOCUS filings located in the redesigned FINRA Gateway?
How do I transmit an eFOCUS filing to my clearing firm?
When are my eFOCUS filings due?
Where can I see previously filed eFOCUS reports?
How do I amend a submitted eFOCUS report?
How do I print an eFOCUS report?
We are a newly registered member firm and when I
The Crowdfunding Offerings: Broker-Dealers and Funding Portals 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.
Cryptocurrencies do not need regulation, as they are already transparently self regulated by the code that powers each blockchain. This code is publicly visible and transparent for all. They are also secure through cryptography, stronger than that which masks transactions and account information at traditional banks and brokerages. Furthermore, Bitcoin is the single best performing asset of the
I have been informed that you intend on restricting, impairing or preventing my ability to purchase and sell proshares inverse ETF funds such as QID. I am currently using them as a hedge against adverse market conditions. As, regulators I do not believe you should restrict my rights to invest or hedge my current portfolio. If you do so, you will financially damage my assets in a down market.
As an informed and educated professional, I should have the right to invest in whatever funds I please. Leveraged ETFS in particular do not pose a risk to my personal financial freedom or wealth. As someone who has read the prospectus of UPRO, TQQQ and TMF, I feel that it is my right as an American to express myself freely supporting these leveraged funds. I know the risks that come with these
I like having the ability to invest in leveraged funds. I do not want this option taken away, or limited by some gate-keeper that gets to decide what I do with my money.
These are calculated risks I take and provides me choices for high growth.
I understand that we're trying to protect uninformed people, but you can't solve this by showing people pages of text before they trade
We should be allowed to invest in funds we like to invest. all regulator should make sure that funds disclose their investment practice clearly and funds are not doing any fraud or providing miss information to investor. regulators should not discriminate small investors but provide all exceptions to big investors assuming they are very well educated and risk aware.. infect big investors are on
