Comments: inverse ETFs: investors with small accounts and limited knowledge or no access to options have no way to hedge their position without inverse ETFs. Putting small retail at that kind of disadvantage exposes them to more risk and potential losses. It forces them into trying to time getting out of the market, and/or taking gains in the short term bracket instead of holding and hedging and
The purpose of this Election Notice is to announce the nominees for the District Committees and the District Nominating Committees.1
The individuals identified in this Notice have been nominated for the District Committees and District Nominating Committees, for terms beginning in June 2008. The term of office for District Committee members is three years, unless an individual was selected to
Banning retail investors from trading certain instruments is like like throwing an abuse victim in jail to protect them from their abuser. The only reason that this instrument performed so poorly over the last 2 years was the excess liquidity in the markets, and the pump and dump scams often indoctrinated into CNBC viewers. Over the year or so, we’ve witnessed the collapse of Melvin Capital,
Having used leveraged long & short funds for several years I can honestly say that they have helped me make small capital gains while hedging against market volatility. During a recent Nasdaq sell off, losses in long stocks were compensated by the shares of SQQQ that I own. WTI oil has been volatile lately. Scaling out of UCO's as oil rises & simultaneously scaling into SCO
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
By FINRA Departments of Member Supervision and Enforcement
A call to FINRA’s Senior Helpline resulted in $3.4 million returned to approximately 300 customers.
In 1996, the Santa Rosa Bay Bridge Authority in Milton, Fla. issued bonds to raise capital for the construction of a bridge. Fast forward about 25 years to February 2021: A customer contacted FINRA’s Senior Helpline, concerned that he had
The Technology Management 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.
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to exempt certain business development companies (“BDCs”) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and
Hello,I understand that the pattern day trading rule was originally enacted to primarily protect clearing firms from margin overuse/loss mitigation. However, I don’t think you will find many traders agreeing that it has helped to protect them from losses. I don’t think the government should be trying to protect people with blanket rules for some traders and freedom for other traders. Education is
