Hello FINRA, Leveraged and inverse funds are important to my investment strategy. For example in a downward market trend (Q1 2022) I am able to invest in an inverse leveraged fund (e.g., SQQQ) to mitigate downside risk associated with my individual stock NASDAQ investments. As my individual NASDAQ investments declined the loss was offset by my investment in SQQQ. This helped me protect (hedge) my
As an Investor on TDAmeritrade I was approved an account to invest. My expectation, as a customer, is that my brokerage provide me all the tools that any investor would have access to and NOT based on my WEALTH!!! By limiting investment vehicles to users based on how much money they have is wrong and is only used to keep people from getting ahead. Saying you are protecting me from loss is [
As an Investor on TDAmeritrade I was approved an account to invest. My expectation, as a customer, is that my brokerage provide me all the tools that any investor would have access to and NOT based on my WEALTH!!! By limiting investment vehicles to users based on how much money they have is wrong and is only used to keep people from getting ahead. Saying you are protecting me from loss is [
On October 2, 2023, FINRA will launch the new Fingerprint Program for Transfer Agents and Clearing Agencies (TA/CAs) as the SEC declared FINRA's updated Fingerprint Plan effective September 22, 2023. This Program outsources fingerprint processing to Sterling Identity (Sterling), the same FBI-approved channeler that processes fingerprints for broker-dealers on FINRA’s behalf.
As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities
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Executive Summary
As part of its comprehensive program to monitor and enhance member sales practices, the NASD is publishing this Notice to remind members of their obligations under the Rules of Fair Practice when recommending CMOs to their customers. In light of the complexity and the varying risk
Dear FINRA,
Public investments should be available to all of the public not just the privileged. I should be able to choose the public investments that are right for me and my family.
I have done my own research and are well capable of understanding leveraged and inverse funds and their risks.
I shouldn't have to go through any special process like passing a test before I can invest in
Melvin Capital complaint - lack of reporting regarding naked short positions leading to chart manipulation through darkpools. I hope something is done about behavior indicative of intentional malevolent chart manipulation by hedge funds developing bad risk analysis putting the broader markets in jeopardy by aggressively naked shorting stock with little regard for who's money they are putting
These products have helped me pull in my retirement horizon by MORE THAN A DECADE! In fact, I have further built an entire business based on utilizing LEFT's and Inverse Funds, with the intention of this being a MAIN income stream at some point. I would be financially devastated if there were restrictions imposed - such as a proposed "cooling off" period.
The
I oppose restrictions on my right to invest in public investments. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special processes like passing a test because I can invest. I do NOT need any additional measures imposed on me. Try putting some better restrictions on congress, the house and house speaker'
