I am currently a small investor, living off the income I earn actively investing. Leveraged and Inverse Exchange-Traded Funds (ETFs) are an important part of my investing strategy and income.
It has not taken me much time at all to learn how to use Leveraged and Inverse ETFs as part of my investing strategy. Concepts like decay, the effects of leveraging and daily resetting seem as easy to grasp
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
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As of July 29, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
FERL.GB
Ferrellgas, L.P.
7.875
8/1/01
BYD.GA
Boyd Gaming
10.750
9/1/03
I'm a retail trader. I'm glad strongly in favor of enhanced short and FTD reporting requirements. Knowing the true short interest and quantity of FTDs on a security are important metrics for me when I'm evaluating an investment. There are currently too many ways for large players in the system to obfuscate this information. Please do everything in your power to ensure that true
To Whom It May Concern:
I retired just over a year ago. I had no pension at work nor any other sponsored retirement plan. I had my own investments in both IRAs and non-qualified accounts. My life has not been easy because of divorce and child custody battles, bad economies over the last 20 years, a relatively low income (mostly in the $50-$60 range) and living in high cost of living areas,
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
Please do not reduce the investing freedom of individual investors. We should be free to make our own investing decisions, whether they are wise or not - that is our decision to make. This would further stack the deck against individuals, when institutional investing firms already have myriad tools and freedoms that are not given to average people. Furthermore, these firms have shown no better
The Neutral Corner—Volume 1, 2021
Mission Statement
Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)
Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Vaccine information for Hearing Purposes
COVID-19 Hearing Postponements and Virtual Hearings
The following lists of the ten most active investment grade, high-yield and convertible corporate bonds is published for each market day. Please refer to Systems Calendar.
Regulations preventing individuals not considered high net worth is classist, and potentially racist considering the socio economic demographics of high net worth folks. This has the potential of being illegal for its discriminatory language similar to historic red lining policies. I would also think, having more people invest would be of interest in a capitalist system, as it also has the
