FINRA 21-19 is a regulatory change we must incorporate and enforce in our markets. It is clear to me as a retail investor that the integrity of the US market has been strained, and personally I have lost almost all faith in it. This sentiment stems from the regulatory and enforcement failure in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short
It is clear that the integrity of the United States market has been strained to the edge of collapse, in large part due to risk resulting under the regulatory authority of FINRA's outdated, short-interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they also leave significant specific
The integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. FINRA 21-19 is a long overdue change. The policies mentioned in Regulatory Notice 21-19 speak of exploitable and ineffective reporting, they also leave specific gaps that could
It is clear that the integrity of the United States market has been strained to the edge of collapse, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they also leave significant
FINRA 21-19 is a long overdue; the US has systemic risk developed under the regulatory authority of FINRA's outdated SI reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address exploitable and ineffective reporting, they also leave gaps/loopholes that could compromise its purpose. The stability of the US markets and the confidence of its global investing
Hello, I am deeply concerned about my future access to complex trading products. I'm not sure your definition of complex products. Adding new red tape and hoops for investors would be beneficial to the rich, wealthy, and upperclass to keep the rich getting richer. Effectively hurting the retail trader and small guy in the economy. Effectively blocking access to the American dream to many in
SEC Proposed Rule #S7-24-15 is unnecessary and prohibitive. Levered ETF's are a great way to invest and people who use them know the risks and rewards. Investors are not stupid and understand leverage. You do not need to place obstacles in the way of anyone who chooses to use levered ETFs in their portfolio. The SEC should not have the right to tell me what investments are or are
To whom it may concern:
I am writing to express great concern that the FINRA policies under consideration will limit my access to leveraged and inverse funds.
These products are an important part of my investment strategy. With leveraged funds I have flexibility to invest without taking on debt, manage risks against rising or falling markets, and make personal investment decisions on hedging or
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EXECUTIVE SUMMARY
After several years of discussion, the Securities and Exchange Commission (SEC), NASD, and North American Securities Administrators Association (NASAA) have resolved their differing views regarding disclosure
Comments: My name is Maurice Edwards, and I have been using L&I investment vehicles (as well as other complex products like options) for many years and I don't want my financial opportunities to be regulated away. I spent the time picking up the knowledge and experience to use these assets, and after all that my outcomes are to my liking. My brokerage provides free and high quality
