I have been investing using leveraged funds, inverse funds, options contracts and futures for 30 years.
The only time I lost money was when regulators changed rules on my trades.
STAY OUT OF MY MONEY AND LET ME MANAGE IT WITHOUT CONSTANTLY CHANGING RULES!!!
Enough with the paternalistic overreach. Adults should be free to invest the money they have legally earned without regard to class. Having to pass a test to spend your own money is outrageous. Promulgating rules that disadvantage people of lesser means is disgraceful and un-American. This rule change should be rejected.
Executive Summary
With the concurrence of the Securities and Exchange Commission (SEC), the Department of the Treasury (Treasury) recently issued a letter clarifying that the recordkeeping requirements of SEC Rule 17a-3 and Rule 17a-4 apply to forward settling repurchase and reverse repurchase agreement transactions (forward repos). In addition, the letter indicates that broker/dealers should
The Private Placements 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 amended its rules to require firms to report time fields in trade reports submitted to a FINRA equity trade reporting facility (or FINRA Facility)1 using the same timestamp granularity that they use when reporting to the Consolidated Audit Trail (CAT). Once the amendments are effective, firms that report time on CAT order execution events in increments finer than milliseconds
Questions and Answers on FINRA’s Eligibility Proceedings for Firms Participating in the Securities and Exchange Commission’s (“SEC” or “Commission”) Share Class Selection Disclosure Initiative (“SCSD Initiative”).
To guide firms participating in the SEC’s SCSD Initiative, FINRA is issuing the following questions and answers regarding the statutory disqualification process. Information contained
I should be able to choose public investments that I feel are right for me and my family, not some government agency. This in my opinion is a government over reach. It appears that every day the government tries to usurp American citizens rights and indoctrinate each and every American citizen. This is supposed to be a free country. Let's keep it that way. i'm truly tired of
Summary
FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110). Members may wish to consider
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1010 (Electronic Filing Requirements for Uniform Forms) to permit firms to file a Form U4 (Uniform Application for Securities Industry Registration or Transfer) based on an electronically signed copy of the form.  
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The free Retirement, Your Way: Tips for Smarter Investing dinner seminar originally scheduled for Thursday, August 17, in St. Louis has been postponed. We will update this page with more
