Testimony Before the Committee on Financial Services
I fully expect FINRA to act against the best interest of the retail investor. FINRA has proven time and again that regulations are designed to protect the corporate, "sophisticated" investor rather than the everyday "retail" investor.
"Treat all investors equally" means there shouldn't be roadblocks put in my way to invest in certain
Dear FINRA,
My name is Jose Reyes, an investor in index ETFs and also in leveraged ETFs such as UPRO and TQQQ. I strongly believe that no one has my best interest in mind than myself. That's the reason why, although I have a retirement plan, I also decided to manage my own personal portfolio and for the most part I invest in index ETFs that track the S&P and the NASDAQ. Those
The hackathon is designed to provide technology staff with foundational security knowledge as well as the opportunity to practice mitigating security risks like broken access control, cross-site scripting, security misconfigurations, injection attacks and more. The planning team works with a vendor to create three cyber ranges to practice security hacking at beginner, intermediate and advanced levels.
(a) Application
This Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.
(b) Definitions
(1) The terms "affiliated member,
(a) ApplicationThis Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.(b) Definitions(1) The terms "affiliated member,"
This proposed rule would deal yet another blow to the free market. Everyday Americans should be able to buy and sell securities as they please. Regulations like day trade restrictions, the banning of the creation of 3X leveraged ETF funds, and now this proposed rule continually erode away free market principles at the expense of the average American. Institutional investors have access to low
Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
A diversified portfolio tends to be harder to achieve than simply following the mantra to avoid putting all of your investment eggs in one basket. This basic strategy can help, but it is often not enough to avoid concentration risk—the risk of amplified losses that may occur from having a large portion of your holdings in a particular investment, asset class or market segment relative to your overall portfolio. Learn more about concentration risk and read tips on how to manage it.
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
