I should be allowed to invest in any publicly traded funds without passing any test. Leverage funds enhanced returns in a bull market and inverse funds help protect my investments in a bear market. Government has too much power and are not smarter than the rest of us.
(a) A member seeking registration as an ADF Market Participant shall:
(1) file an application with FINRA in which the member:
(A) specifies whether the member is seeking registration in Nasdaq and/or CQS securities;
(B) certifies the member's good standing with FINRA;
(C) demonstrates compliance with the net capital and other financial responsibility provisions of the Exchange Act;
(D
The Communications with the Public 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.
It is more than obvious that several agencies are not complying with the rules for naked shorts and FTD's. Retail investors should have the same real time information as hedge funds to include short interest and real time trading.
FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.
SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
With FINRA allowing naked shorting and the whole fiasco that goes along with that, affecting the small investor to a large degree, I cant imagine why your organization is restricting ProShare trading. Is this another scheme to bilk us? No wonder Republicans are going to retake control of our country! Leave us alone.
Individuals not regulators should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged.
Leveraged and inverse funds are important to my investment strategies. I study macro trends and bet on leveraged ETFs to success. This will impact my trading strategy.
Do not restrict the trading of leveraged and inverse ETFs. These are valuable tools in an investor's toolbox that help to hedge against certain kinds of risk. They also simplify the process of gaining credit and cap the risk exposure in the process.
Show some restraint and stop trying to restrain those of us using these tools.
