I was alarmed to hear regulations are being considered by FINRA, which would severely restrict my being able to buy leveraged or inverse funds to invest for my family! The wonderful thing about Inverse or Leveraged Funds is that I can capture the same returns with 1/3 less Capital outlay A typical real life example for me would be if I... When I Invest 10,000 into 3X Inverse/Leveraged ETF and it
To whom this may concern. It has come to my attention that FINRA has proposed ne regulations that would limit my ability to invest in certain instruments, such as leveraged, or inverse funds. I am a truck driver who manages 80% of his investments. The proposed limitations/requirements would affectively lock me out of roughly 10/12% of my personal strategies that help me hedge against market
Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military Communities
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse
Good afternoon, I write to you today as a retail investor who is building a small portfolio. I have found leveraged and inverse ETF products to be integral to my trading strategy, as they allow for enhanced returns. When I first began trading and trying to find ways to enhance my returns, I tried options and nearly wiped out my portfolio. I had to start all over again, and vowed never to use
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Executive Summary
On September 29, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Corporate Financing Rule, Article III, Section 44 of the NASD Rules of Fair Practice relating to rights of first refusal. The amendment continues to permit the use of rights of first refusal, but
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, July 15, 1996. The information relating to matters contained in this section is current as of July 5, 1996. Information received subsequent to July 5, 1996, is not reflected in this section.
Firms Fined, Individuals Sanctioned
George E. Dullnig and Co. (San Antonio, Texas) and George R. Dullnig (
The Customer Order Handling: Best Execution and Order Routing Disclosures 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.
(a) Department of Enforcement
With the prior written authorization of FINRA's Chief Executive Officer or such other senior officers as the Chief Executive Officer may designate, the Department of Enforcement may initiate: (1) a temporary cease and desist proceeding with respect to alleged violations of Section 10(b) of the Exchange Act and SEA Rule 10b-5 thereunder; SEA Rules 15g-1
FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and FINRA announced today that registration is now open for both in-person and virtual attendance of their Compliance Outreach Program for municipal market professionals. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado.
