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NASD Regulation, Inc. (NASD RegulationSM) requests that members review their compliance procedures with respect to Securities and Exchange (SEC) Rule 15c2-4, which is applicable to public and private
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Firm Short Positions and Fails-to-Receive in Municipal Securities NEW FOR 2022
Trusted Contact Persons NEW FOR 2022
Funding Portals and Crowdfunding Offerings NEW FOR 2022
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FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
This letter is to oppose each and every one of the extensive restrictions being contemplated in Regulatory Notice 22-08. The proposed rule should be revoked. It is the latest open attack on the common man’s access to the new class of leveraged products, and in so doing, it is illegal.
The original attack came from the SEC in late 2019. That proposed rule, File No. S7-24-15, which limited
Ladies and Gentlemen,
As a retired RIA and portfolio manager who spent more than 25 years managing assets and advising private clients, I object to FINRA's Notice #22-08 proposing to limit access to leveraged and inverse ETFs. While there will always be a handful of novice and unsophisticated clients who may harm themselves by trading financial instruments they don't fully
I oppose any restrictions on the ability to freely trade any public commodity. I oppose any trade restriction on any commodity simply because they are leveraged, or reverse leveraged. I trade in these stocks almost daily and they make up a significant portion of my portfolio. A private investor should not have to jump through bureaucratic hoops in order to freely exercise their right to
I am THE only person that should be able to choose investments that are right for me and my family. I do not want or need YOUR decisions imposed on me. I use leveraged and inverse funds to help me protect my investments or enhance my returns depending on market conditions. Restricting me to do so while allowing so called "professionals" to use the same techniques is abhorrent
I am opposed to the limitations the FINRA is contemplating imposing on right to choose who I invest with and what I invest in.
I am also against FINRA, a Not-for-Profit organization regulating my right to invest with whom ever I want to and in what I invest in and to have me go through any special process and testing I might have to take before investing is unconscionable.
Most investors are not
Dear FINRA, I am a former mutual fund manager and current private investor who has utilized many types of ETFs over the years to achieve my investment strategies. I find the leveraged ETFs to be very valuable and straight-forward and do not see the need for restrictions or further regulation. In my mind, the proposed regulations would add undue burden on investors and be a waste of taxpayer money
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
