I should be able to choose the public investments that are right for me. Public investments should be available to everyone, not just the privileged. I understand how these products work and do not need oversight from anyone or having to pass a test to invest. Leveraged and inverse funds are important to my overall strategy so I have downside protection if the market tanks. Spend your time
Regulators should not prohibit access to valuable investment tools that are designed to serve investors in achieving their goals, including retirement. Investors are responsible for choosing the proper investments for themselves and that SHOULD NOT require any measures imposed on investors that would require testing or minimum net worth requirements. Inverse and Leveraged ETF's are valuable
I oppose restrictions on my rights to invest as I wish in public investments in regulated markets. I should be able to choose (without restriction) which investments are right for me, not just the privileged financial class. I shouldn't have to go through some special process or pass a test before having access to any public securities including, but not limited to: inverse funds, leveraged
I am against regulators limiting investors from trading leveraged and inverse funds. They provide me a useful way of hedging so I don't have to sell portions of my portfolio that have tax consequences. These funds also provide additional liquidity to markets allowing them to function. These types of funds are easy to understand so the public should not have to be accredited or pass any test
I believe that I - and not regulators with potential agendas should have the right to choose the public investments right for me -- and these shouldn't be restricted to just the privileged. I shouldn't need to go through any special process or testing before I can invest in public securities (such as leveraged and inverse funds) since I'm quite capable of understanding the risks
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
TO: NASDAQ Subscribers and NASD Members
FROM: Molly G. BayleyVice President, NASDAQ Operations
NASDAQ market makers and NASD Members have expressed an interest in receiving copies of the Monthly Statistical Report to Issuers (MSR) on a regular basis. This Report has been compiled and sent on a monthly basis to NASDAQ company executives for several years. Each Report contains daily, weekly and
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
FINRA 21-19 is a long overdue change. It is clear that 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. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
The FINRA/Nasdaq TRF Carteret experienced an issue on Monday, April 1, 2024 that affected a subset of users due to connectivity issues with a number of TRF ports. While the issue was ongoing, Nasdaq advised the affected firms to use the FINRA/Nasdaq TRF Chicago as an alternative trade reporting facility to submit their trade reports.1 Nasdaq was able to resolve the issue before
