In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must establish its own
Finra, thanks for giving us a way to input our thoughts on 22-08. Leveraged etfs offer the retail investor opportunities to take positions, both long and short, that in the past were only available to large asset managers. While warning labels are justified, we should be able to make up our own decisions on when and if to use leverage and or inverse etfs. Taking a monetary loss on a losing trade
After 40+ years of investing the assets my wife and I own, I think I know what investment products We want to own! I am a VIP investor at Fidelity and buy leveraged and inverse funds. We are aware of the risks, so please don't try "save us" I am reminded of of one of the most "Terrifying" statements any American can hear!! "We're from the Goverment, and We'
Don't take away my ability to trade in leveraged long/short products. To have regulators restrict my choice in investment products is absolutely wrong and would ultimately degrade my ability to manage my investments. Inverse funds are critically important in providing PROTECTION. It permits me to offset my long positions when markets decline. By using the inverse leveraged funds I can avoid
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
INFORMATIONAL
Subordination Agreements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Appendix D to the Net Capital Rule
Net Capital
Operations
Subordination Agreements
Subordinated Loans
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of
I have the right be able to choose the public investments that suit me and my family.
The leveraged and inverse funds are important to my investment strategies that protect/hedge my capital.
The Cybersecurity and Technology Management topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that promotes vibrant capital markets. The purpose of this Notice is to encourage employees of member firms and other interested
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
