Important Year 2000 Information
Based on milestones published by the Securities Industry Association (SIA), securities firms at this time should have a comprehensive Year 2000 program plan in place and be actively certifying third-party products and service providers for Year 2000 readiness. Firms also need to begin completing the repairs to any of their internal applications and testing these
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, August 19, 1996. The information relating to matters contained in this section is current as of August 5, 1996. Information received subsequent to August 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Chatfield Dean & Co. (Greenwood Village, Colorado) and Scott
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is highlighting a statement released today by President Biden regarding possible threats to our nation’s cyber security, urging private sector companies to remain vigilant and harden their cyber defenses "immediately" based on "evolving intelligence that the Russian
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
Dear Regulators and to whom it may concern.
Owning and managing leveraged funds like pro shares ETFs since 2007, I understand how they work and react with market trends and am fully aware of any risks, as it is explicitly explained with no discretion from those companies and by the nature of those types of ETFs. I should be able to chose if I buy them or sell them as a regular investor, with no
Ladies & Gentlemen,
It is my understanding that the FINRA Regulatory Notice #22-08 is putting at risk my opportunity to invest in various methods of investing suggesting that I do not have an adequate understanding in how to do so while limiting the risk to me and my family. I and my family members, not regulators, should be able to choose the public investments that are appropriate
I am deeply disturbed by the proposed regulation limiting access to leveraged and inverse ETFs (which are publicly-traded securities) to those with high net worth who pass a specialized regulatory exam and then jump through a series of administrative and timing-related hoops.
Leveraged and inverse ETFs are one of the few methods that the little guy has in order to protect his or her investments
I strongly disagree with the regulations on leveraged products that FINRA is proposing. As a retail investor, I should be able to choose my investments and make decisions as to what is right for me and my family, without having to go through some special process, be it passing tests, or meeting some net worth that only privileges those with higher net worths.. who are already advantaged with
I am a retail investor that has been successfully trading in leveraged investment vehicles for more than four years. These vehicles are important to my personal investment style and I am very comfortable with the EFT I have chosen.
Through my own study of the EFT and the prospectus provided by the fund, I am well acquainted with the risks inherently involved in the purchase and sale of my chosen
I have been trading 3x leveraged funds for 12 years, namely TQQQ but many others including UDOW which I consider a very safe investment long term.
I started my journey investing when my companies pension plan was paid out. I received 17,568 dollars that I rolled into an IRA. I have grown that initial investment into hundreds of thousands of dollars for my family and myself for retirement. I
