I consider investing my own money a decision that I am fully capable of making without additional controls. The changes being considered to gate who has access to leveraged and inverse ETFs/Funds are barriers to entry. Personally, I use them in my investing to better manage market downturns and to gain better returns. In 2020 when the market was getting hammered, I was able to invest in an
It's extremely annoying when US Government regulatory agencies think they know what financial products are appropriate for me. The US was founded because a bunch of British citizens didn't approve of their overlord's restrictions. Unfortunately, it seems the 'leaders' of this country have learned nothing from that part of our history.
If you want to
It was shocking of knowing that our regulators plan to limit our right to invest in leveraged and inverses funds. Certainly, we understand the risk of investing and the choice of risk and reward should be left to the investors. The investment choices and the type of investments should be open to all, but not just a few privileged, i.e. the wealthy ones, and the investment firms...etc. As an
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 15, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data
FINRA’s Virtual Artificial Intelligence (AI) Conference and FinTech Office Hours occurred on November 9 and November 10, respectively. The Virtual AI Conference was a half day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. Register to view the sessions.
Hello FINRA,
I have been using leveraged ETF's in my portfolio using a strategy based on an algorithm that helps me decide when to buy and sell and I have been successful using this strategy. I have a firm belief that I, not the regulators should be able to choose the investments that are right for myself and my family. Public investments should be available to all of the public, not
During its May 8-9 meeting, the FINRA Board of Governors approved FINRA’s 2023 Annual Financial Report and appointed new members to FINRA’s Advisory Committees.
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 22, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 21
INFORMATIONAL
Release of Disciplinary Information
Implementation Date: September 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
IM-8310-2
Release of Disciplinary Information to the Public
Executive Summary
NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the
