The Outside Business Activities and Private Securities Transactions section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged. As a former Certified Financial Planner for nearly 30 years I know about market and investment risks and understand the complexity of trading leveraged investments.
I shouldn't have to go through any
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,947:
Symbol
Company
Entry Date
SOES Execution Level
FMDD
F & M Distributors, Inc.
9/25/92
500
USML
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
This is ridiculous.
In the finance world, first I found the Pattern Day Trader (PDT) rule is ridiculous. If this is risky: when you don't have money (< $25,000), you cannot do it; when you have more money (> $25,000), you can lose them more quickly. It means you have a higher trial and error cost.
Now, the new rule is even more ridiculous, similar to PDT. People
I use leveraged products as part of my portfolio and I am well aware of the risks they carry. Leverage products such as UPRO and TQQQ can be used effectively as a component of a broader investment strategy and should not be restricted from public retail investors because some decide not to properly educate themselves on the risk they carry. It is important for individual citizens to have the
I am a 74-year-old conservative and cautious investor who has successfully used triple-leveraged ETF's during the last nine years to provide supplemental income for retirement. I and my 69-year-old wife do not live extravagant lifestyles, but these EFT investments have allowed us to live a middle-class life in retirement. However, if the freedom to use these investments was taken away
"Complex products" are a valuable resource for investors for diversification of investment strategy and risk mitigation that should be available to all investors. The notice tries to draw parallels between option trading and "complex products", but there is a significant difference in the level of leverage and potential financial exposure between these
To whom it may concern,
It should be a right not a privilege to invest in cryptos, etfs, and other financial vehicles. Creating tests to disqualify certain individuals is a form of elitism, which we have enough of already in this corporate state of America. Crypto should be considered a valid form of investing, and even the little guys should get a shot at getting in early, and diversifying their
