I want to firmly protest the proposed restrictions on inverse trading being considered. Concise cautions for inverse funds are appropriate as is regulatory oversight to prevent fraud in their operation as should be applied to all financial instruments. In my dealings regarding inverse funds precautions are already supplied by the funds themselves and the brokerages like Charles Schwab that
I have invested effort and money into learning investing, a key component of which includes hedging strategies using inverse ETFs. These trading instruments should remain to ALL traders in the public domain. It seems unfair to have a special process and test out given this is not the case with 401Ks, or even the ability to vote from an understanding of the issues that we are supporting or voting
This act is another form of financial oppression. The motives for why these ETF's are having access revoked is because the retail investor/general public can make too much money in eyes of the financial industry. They are not revoking access to protect us, the retail investors. They are revoking access to protect themselves, the financial institutions, from losing too much to retail
Hello, I oppose restrictions to my right to invest. Regulators should not be able to restrict the public from investing. We investors are making informed and educated decisions based on market factors and the economy. It is rude to assume regular investors are not 'smart' enough to make their own decisions. It would be fundamentally un-American in all that is business to impose these
I would appreciate FINRA supporting people like me who wish to trade ETFs and leveraged ETFs especially in IRA accounts where we can control the gains and losses in our accounts. In my case I have over 50 years experience in the markets and would prefer making my own decisions without interference from outside sources. Shorts arent allowed in some accounts and the only way to protect holdings in
The types of investments that could potentially be impacted by SEC Proposed Rule #S7-24-15 is lengthy and diverse, including Leveraged and Inverse Funds, and can legitimately be incorporated as part of a comprehensive investment strategy. These are publicly traded instruments and I am an experienced, educated, and informed investor. I should NOT need to jump through additional hoops to be "
Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
The Liquidity Risk 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.
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the FINRA/Nasdaq TRF Chicago, IEX (Investors Exchange) and LTSE (Long-Term Stock Exchange).
Each document’s Revision History illustrates these changes and impacted fields.
Questions regarding this notice should be sent to FINRA Product Management or
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.
