I am not a major investor but have some funds that I actively manage which I am hoping to use for my kids college fund. I need the flexibility to decide if I want to be long, short, leveraged or not on my positions. I am not a high new worth individual or professional investor but I understand the risks I take in going short on a position or having a leveraged position. Largely these positions
I am capable of investing in risky assets like inverse leveraged and leveraged accounts. I do my research with high quality support from FundStrat and read Barrons, Wall Street Journal and follow many analysts. 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
Member firms should be aware of an ongoing phishing campaign involving fraudulent emails targeting executives and purporting to be from FINRA employees, with the goal of harvesting credentials. As indicated by the full, expanded email address hidden under a masked email display name, these emails are not from FINRA, and firms should delete them and consider blocking the fraudulent domains.
Comments: Please do not restrict access to leveraged ETFs. I am an individual investor who makes a profit trading these year after year. It will harm us by taking away options to capitalize on trends.
Thanks
Why is the government so interested in what its citizen do with their own hard-earned capital? It is a disgrace we civilians must be held at the will of the government's decisions. Allow us to trade at our own will!
Thank you
I believe that I, as an American, can invest my money in any vehicle I deem beneficial. Leveraged and inverse investment options are one of the many ways I choose to protect my capital. This is a direct attack on the individual investor!
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TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
