Me not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities,
like leveraged and inverse funds
Leveraged and inverse funds are important to my investment strategies. I shouldn't have to go through any special process like passing a test before I can invest in public securities like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these restrictions on my right to invest.
There needs to be more regulation on Overall market transparency. Otherwise the system is always going to be rigged. Things such as dark pools, payment for order flow, and short interest reporting latency, all make the perfect bed for abuse in the general market. Not even mentioning algorithmic trading. Also why so can be both a market maker and a hedgefund. I mean come on that’s just ridiculous
I have been investing in leveraged funds for over 10 years and I am aware of the risks. Leveraged funds help my portfolio perform better with higher returns. I do not need any classes or tests or certificates to trade these funds. If you do then you should make every single investor in the market do the same.
The additional rules proposed by FINRA does not protect the public as whole, rather only protects a small few that wants additional control on the free market. We are currently able to trade knowing the risks and rewards - the people do not need high net worth, special classes / tests, or additional government regulations imposed on us.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. Myself and the public are capable of understanding leveraged and inverse funds and their risks. Leveraged and inverse funds are important to my investment strategies. I do not need these measures imposed on me.
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On-Demand Recording: Phone-In Workshop and WebEx Presentation
Original Program Date: April 6, 2017
On this video recording of an April 6, 2017, FINRA staff reviewed relevant rules and regulations, provided a demonstration of new related forms, and discussed testing and other relevant technical information.
Request more transparency. Retail investors should have visibility on all exchanges and they should be immediate. Current technology makes this possible. T+2 system is a relic of an antiquated system. The current system architecture puts all the advantage to large firms that have access to information that is either restricted or delayed to the retail investor. This obviously creates an un-level
Sec. 3. The Board, or such person or persons as may be designated by the Board, in the event of an emergency or extraordinary market conditions, shall have the authority to take any action regarding:
(a) the trading in or operation of the over-the-counter securities market, the operation of any automated system owned or operated by the Corporation or NASD Regulation, and the
FINRA has launched two new TRACE data products: the End-of-day TRACE Transaction File and the TRACE Security Activity Report.
The new End-of-Day TRACE Transaction File is a daily file that includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The End-of-Day TRACE Transaction File will be provided to subscribers after the TRACE system closes at the
