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In observation of the Thanksgiving holiday, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, November 24, 2022.
Please be advised that the ADF will close early on Friday, November 25, 2022. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions
As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, March 28, 1986. "Regular-way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
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Inverse ETFs, commodity based ETFs and alternative investment ETFs like BITO provide a simple mechanism to diversiy and hedge the market for any investor.
It’s a valuable investment tool for any investor who does not have access to highly specialized brokerage accounts with margin account.
Usually, the brokerage warns the investor about the dangers of such investments before the trade goes
It has come to my attention that FINRA issued a notice on 8 March 2022 regarding certain securities with simple inverse or leveraged price movements.
Designation of these products as complex securities is completely unwarranted as any complexities in the structuring of these securities is no more relevant to investor, that the structuring of any other ETF. The price action is not complex to
Dear FINRA,
Hi My name is William Alexander.
I just want to write to express my concern over the proposed limitations concerning the trading of leveraged funds in the stock market.
Im a nobody. I started work at a gas station at $7/hour 15 years ago. I literally had zero money in
savings, no car, a small apartment, and 35k in debt!
Did I bemoan my fate? Absolutely not! The great thing about
You would be limiting peoples ability to hedge long only investments (bonds & stocks).
Creates over inflated valuations if you limit us to long only investing.
For those of us who have inverse or leveraged ETFs, will you force us out of them, & if so, that would likely force us to unwind at levels we do not wish too.
Think back to when they halted trading in the short vix
I am strongly opposed any additional regulations to leveraged and inverse securities. All investments have an element of risk; by requiring a list of pre-requisites to trading these securities, you decrease the investor base with access which could add to increased volatility as well as making the acquisition and disposition of said securities much more difficult. Additionally, further
