Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Hello I want to suggest a new rule with all financial operations of any kind by any broker is instantly reported, it's 2021 after all - and that all these operations were transparent and public via your websites - with multiple layers of depth so that "new" retail investors like myself could understand the basics easily - and that it would be multiple levels of depth for the more
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
GUIDANCE
Manning Obligations
Effective Date: January 2, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Limit Orders
Manning Rule
Executive Summary
On August 4, 2005, the Securities and Exchange Commission (SEC) approved amendments to Interpretive Material (IM)-2110-2, Trading Ahead of Customer Limit
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
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.
