FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
<p>NASD Rules 6950-6957 (OATS)</p>
Please do not take away my ability to make my own investment choices. My ability to choose my investments should be mine, not regulators. Leveraged and inverse funds should be available to all investors, not just the wealthy.
I should not have jump through hoops to be able to choose my own investments. Leveraged and inverse funds all have a warning about their volatility that is easy to see
Hello, I am a retail investor who regularly buys and sells leveraged index fund products. I trade these funds based on a strategy I have developed with great research and care, and know full well the risks involved. Leveraged index funds provide retail investors access to position-sizing and diversification strategies that would be too onerous for such investors to implement themselves.
Thank you for the opportunity to comment on the proposed changes to "Complex Products" like L&amp;I Funds, etc. Apparently once again the government thinks that all Americans are idiots. Concern that investors may be "confused" by "complex products" - I find this attitude highly offensive. I would very much prefer that you leave
To whom it may concern;
It is deeply disturbing that thee are proposed limitations on leveraged and inverse ETFs being discussed. Although concerns are valid that these investments do carry increased risk, anyone who does their due diligence reading the forms and prospectuses and looking at the one, five, and ten year charts can see whether the investment is a hedge/short term only (most inverse
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Executive Summary
The Securities and Exchange Commission (SEC) is reproposing to adopt Rule 13h-l and Form 13H under the Securities Exchange Act of 1934. Originally published for comment in 1991, the proposed rule establishes a system for identifying large-trader accounts and transactions, and places certain
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Definition
The term artificial intelligence broadly refers to applications of technology to perform tasks that resemble human cognitive function and is generally defined as “[t]he capability of a machine to imitate intelligent human behavior.”6 AI typically involves “[t]he theory and development of computer systems able to perform tasks normally requiring human intelligence, such as
In my opinion... All investors from hedge funds, to retail investors to those considering investing in a stock should be able to see the exact same data that hedge funds, and clearing houses and brokers see. It should all be in real time and it should be free. This needs to include Dark Pool data. Short interest should be reported in real time, and the number of shorted shares should never exceed
