Comments: Over the years there has been enough said about the features and risks of the leveraged instruments like 3x ETFs. Brokerages also issue pop-up warnings on the risks and margin requirements as we enter a trade. I am strongly in favor of *not* changing the current rules for these leveraged instruments. Doing so would reduce the investment/trading options for hundreds of thousands retail
TO: All NASD Members and Other Interested Persons
On December 19, 1985, the Securities and Exchange Commission approved a new Article III, Section 41 of the NASD Rules of Fair Practice (SEC Release No. 34-22731). The rule establishes a new requirement for members to maintain a record of their total "short" positions in NASDAQ securities in all customer and proprietary firm accounts and
The public should be able to invest in leveraged and inverse funds, since this will permit them to hedge during times of market uncertainty and with future stock market declines. The excesses of the FED and US Government with over $10 Trillion increase in liquidity in the money supply over the past two years will lead to a great recession and major correction in the markets. The SEC proposed rule
I believe in a free market. What this democratic country is about. I understand the risks associated with leverage investments, I believe e it is unfair and wrong to limit our freedom to invest, especially with inverse etfs. It is up to me to decide the risk I am willing to take. To impede me from investing in inverse etfs in the start of a bear market is not fair. It goes against the principles
On your website it states, "FINRA is authorized by Congress to protect Americas investors by making sure the broker-dealer industry operates fairly and honestly." This means that you are representing American investors. As an American investor, I do not support the increased regulation of leveraged and inverse funds which includes SEC Proposed Rule #S7-24-15. American investors should
I am opposed to new regulations that would prevent regular American people like me from owning leveraged securities. I am an adult, I can make my own investing decisions. I dare say I make better financial decisions for myself than the Government does. I do not believe that the SEC has my best interests in mind with proposed rule #S7-24-15. I want less government in my life. Not more.
FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options; Effective Date: February 28, 2008
Effective March 13, 2008, when issuing liability notices in connection with certain securities transactions, firms are required to use the automated liability notification system of a registered clearing agency, provided that both parties to the contract are participants in a registered clearing agency that has such an automated system.
Changes to Qualification Examination Fees
SummaryFINRA will conduct its Annual Meeting of firms on Monday, August 18, 2025, at 9:00 a.m. Eastern Time at FINRA’s Washington, D.C., office (1700 K Street, NW, Washington, D.C.) for the purpose of electing one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1As a self-regulatory organization, FINRA is committed to deep engagement
