FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the fourth quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of March 19, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter March 18,
The Extended Hours Trading topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
SummaryFor the past two years, FINRA has encouraged firms to keep their Risk Monitoring Analyst (formerly known as a “Regulatory Coordinator”) informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and
I wish that I could say how surprised I am that financial and/or governmental bodies are once again displaying bad behavior in terms of how they treat American retail investors, but Im not. The current practice of displaying a warning on risky financial instruments is QUITE sufficient. I can read, thank you VERY much. This has nothing to do with protecting individual investors from themselves and
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
Email: [email protected] Subject: Regulatory Notice 22-08 05/08/2022 Please allow leveraged and inverse funds to continue. Public investments should be available to all of the public and should not be restricted to only certain groups or individuals. I have a hard time understanding why restrictions are being considered for leveraged and inverse ETFs such as index funds while high risk stocks
Greetings,
It has come to my attention that FINRA is considering new restrictions on the ability of the public to invest in leveraged and inverse funds. I'm writing to express my opposition to restrictions which would significantly limit the public's access to and ability to use these important investment tools. In my own experience, leveraged and inverse funds are very useful
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under paragraph (b) of Rule 6622, if such exemption is consistent with the protection of investors and the
While I fully understand the need to have informed investors by placing common investment vehicles such as ESG funds , CEFs, ETF etc. on the list only serves to limit investments from the "common citizen".
In addition artifical barriers such as " broker approval" and tests seem to tilt the landscape toward forcing individuals to use "advisors"
An individual should be able to make their own choices regarding what their risk tolerance is and what investment vehicles they choose. Leveraged/Inverse funds are only a small portion of my portfolio. I use this type of an investment as a hedge to protect the rest of my portfolio as well as enhance my overall returns. Over the last 50 years that I have had an active portfolio of investments,
