I am a retail investor with approximately $1M in investments, spread over several accounts. I routinely trade leveraged and inverse ETFs as a small portion of my overall investment as part of my overall risk management strategy. Though these ETFs are a small percentage of my total assets, they sometimes form a larger percentage of an individual account, as I concentrate all these trades in a
The concept of efficient markets is a joke and short selling of any sort should be illegal. I have no faith in FINRA, DTCC, SEC, etc. Any further participation in the US market on my end will be through directly registered securities outside the DTC. Self-regulating organizations are non-regulated organizations. The SEC/DTCC/FINRA should have zero links to market makers, banks, and hedge-funds,
To Whom it May Concern: As an educated citizen of the United States of America, I should have the right to invest in securities that best suit myself and my family. Since I am educated, I have the ability and the responsibility to be informed about the positions I purchase and the investments I make. As such, I can benefit from the profits and bare the losses of my own decisions. The government
To Whom It May Concern That is Trying to Intervene in The Market, I am a strong opposer of regulatory bodies protecting investors by interfering with an already not-so-free market by attempting to become an ever-larger babysitter. Please, give the market its voice back! If there is demand for various risky investment vehicles, allow that demand to be met by additional supply of new risky assets.
The Neutral Corner – Volume 2—2025Mission StatementFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsProposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection ProcessProposed Rule Change to Amend the Codes of Arbitration Procedure to Accelerate the Processing of
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
FINRA collaborates with international regulators to support and improve oversight of firms with global operations. Specifically, FINRA International works to:
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to stay the effectiveness of specified expulsions and FINRA actions.
Hello FINRA I'm a simple and uneducated ape, I'm fairly new to the market. I have seen verified data that shows companies (such as Melvin Capital and Citadel) funding media outlets to reinforce their short positions on a nearly perfect cyclical basis, I have seen people on social media paid for directly by such companies, and even worse I have companies ravage through money that wasn
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 6730 (Transaction Reporting) to maintain the currently effective 15-minute outer limit timeframe for reporting TRACE-eligible securities covered by File No. SR-FINRA-2024-004 and to provide a
