I am opposed to you limiting the investments I can invest in. I have a masters degree in Finance and have been managing my own money for 24 years. I should not have to pass a test or demonstrate high net worth to be able to invest in leveraged or inverse ETFs. I know full well the risks involved and I use leveraged ETFs as a vital part of my overall investment strategy. These types of investments
I strongly oppose limiting access to public securities for the select few who pass unnecessary tests. The public is perfectly capable of reading and understanding a prospectus and the associated risks and making wise investment decisions for themselves and their families. The securities under consideration for additional regulation such as leveraged and inverse funds are a key strategy to my
There needs to be more regulation on Overall market transparency. Otherwise the system is always going to be rigged. Things such as dark pools, payment for order flow, and short interest reporting latency, all make the perfect bed for abuse in the general market. Not even mentioning algorithmic trading. Also why so can be both a market maker and a hedgefund. I mean come on that’s just ridiculous
Good Evening, I support these changes. I’ve have experienced the consequences of not having these rules in place and had lost a lot of confidence in investing in the financial system. Not having these changes in place also make me worry about a complete collapse of the financial system. These proposed changes have restored a lot of my confidence. Please implement these changes as soon as possible
Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
FINRA should change FINRA Rules 12402 and 12403 so that all Claimants and all Respondents have to share the same number of strikes when ranking arbitrators. Under the current rule so long as a brokerage firm and the financial advisor are represented by different law firms then they would get twice as many strikes as a group of investors who are represented by the same law firm. In
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted to FINRA must be made electronically
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Executive Summary
On August 11, 1994, the SEC approved a series of related changes to NASD rules governing transaction reporting in Nasdaq National Market® securities, The Nasdaq SmallCapSM Market securities, Nasdaq convertible debt securities ("Nasdaq convertibles"), over-the-counter equity securities (OTC
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
