Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
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Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, December 26, 1994, in observance of Christmas Day, and Monday, January 2, 1995, in observance of New Year's Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
In no way would I recommend anyone to vote to accept government restrictions on my investing. I am not a wealthy person, and I have no specialized or ultra-sophisticated trading systems. But I was able to limit the extent of my draw-downs by using ProShares Inverse funds to limit my down-side risk in both the 2000-2003 AND 2008-2009 market drops.
Government restrictions that limit my ability to
Dear Sir or Madam,
I am writing to express my fear and displeasure in relation to the regulations being considered by FINRA that would prevent investors like myself from accessing products like leveraged ETFs.
I have worked for a decade in the financial industry designing systematic financial products and am a CFA charterholder.
I, like many others, have held positions in leveraged investments
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect.
I use leveraged indexed ETF's actively trading them over short time horizons under steady participation in a long time horizon (25+ years) to smooth out inconsequential market fluctuations, even as much as 50%+, as part of my overall portfolio strategy. The financial services providers servicing these funds have been
I am not a regulator and I think I should be able to choose the public investments that are right for me and my family, BUT FINRA should not outlaw it altogether. Leverage products from Direxion have this [REDACTED] crazy rebase calculation that is rebased to one every night is insane. FINRA should make them improve the calculation not outlaw it. Leveraged and inverse funds are important to my
I have been investing for over 30 years. I have a passion for studying the markets and paying attention to the economy and market cycles. Over 30 years I have personally experienced the best bull markets and bear markets of the past 75 years. If there is one thing I have learned, there is NO reason to be bullish (long the stock market) 100% of the time, and there is No reason to be bearish 100
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Friday, December 24, 1993, in observance of Christmas Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
Dec
I use leveraged funds to enhance the performance of my long-term portfolio and rebalance them systematically on a quarterly basis. I know what I am doing. The proper use of these leveraged products is a key part of my financial plan.
These funds are important to me. They improve my performance over the long term. I am not engaged in reckless trading, I understand the effect of daily magnification
