In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, July 4, 2024. Please be advised that the ADF will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision RulesWASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer
I DO NOT agree with regulators desire to restrict retail investors ability to freely trade leveraged investment funds and securities.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend: (1) Section 8.2 (Position Limits and Large Trader Reporting) of the Security Futures Risk Disclosure Statement (“2018 Statement” or “Statement”) to reflect the higher position limits for security futures contracts and changes to the
Keep out of our trades. The current administration is mafia and you don't give [REDACTED]. Leave us alone
I am against this regulation, as it will waste taxpayers' money on restricting free trade, which is all Wall Street is about.
Hello Please do not restrict trading in these etfs. All rules and regulations are quite clear in terms of risks. Amar
Comments: Enhancements are not needed. Leave trading these ETFs available to all without interference. Push education instead of limitation.
Retail traders should choose whatever products that fits their trading strategies. I strongly oppose this proposal
Aifang Shi
We should be allowed to keep trading and this is outrageous that investors like us keeps getting the short end of the stick.
