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The use of AI-based applications is proliferating in the securities industry and transforming various functions within broker-dealers. Some large firms have established centers of excellence to review, share, and build expertise and create synergies related to the use of AI across their organizations. In addition, firms are exploring and incorporating AI tools built by financial technology
Please allow my research and judgement to decide the best investment vehicles for my money. All tools require effort and time to learn. None are more complex than others. ETPs like Inverse ETF funds go the opposite direction of a benchmark. How is this difficult to understand? In fact, in my ROTH IRA this is the safest means to hedge against the market going lower. I don't want to
To FINRA, It has come to my attention through my broker that this notice may lead to a restricting of many types of investments that I have available to me. While some of the recommended requirements such as a cooling-off period and an increase in information that a client must see could benefit retail investors. Other requirements such as a net worth requirement are troubling, to say the least.
I'm have been investing over 7 years. The knowledge of Nasdaq stocks, Dow stocks, and other stocks. My years of experience in trading make me qualified to invest "high" leverage and "high" risk index of stocks. The Proshares service offer this great opportunity to investors to gain profits during volatile times in trading session of the market. I accept and understand the
SummaryFINRA is making available on the FINRA website the Filing Schedule in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time throughout 2025, including holidays. This information will assist firms with making accurate submissions in connection with filing requests of extensions of time throughout the year, including prior to
Our free enterprise system opens and allows of many income levels to opportunity to invest the market system ,national,global, to set regulations is to dampen the freedom to choose the best viable stock option, secure or insecure stocks.
I am writing to express my strong opposition to FINRA’s Proposed Rule 3290 as outlined in Regulatory Notice 25-05. As a responsible investor who personally owns digital assets and utilizes a registered advisor through Digital Wealth Partners, I am deeply concerned about the proposed restrictions requiring financial advisors to seek written approval from their broker/dealer before engaging in
The lack of transparency with short interest is triggering a crisis of confidence in the US markets. The uncertainty regarding systemic risk is creating a systemic risk in and of itself. The crisis is just beginning.
I know what leveraged etfs do and I use them as part of a diversified investment portfolio. I do not wish to go through any additional tests to invest in them.
