From my understanding, public investments should be available to all of the public, not just the privileged. This is my right to choose and invest all types of public investments as I want to, not being forced to invest on the selected section of the market.
I shouldnt have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse
I find it very concerning that FINRA is proposing to interfere in my usage of leveraged or inverse funds and ETFs. My investment firm's websites already give me ample warning about my risks using these investments, and they do it every time I consider making such a purchase. So your heavily burdensome proposed requirements would only be an unnecessary intrusion into my process of
Regulators should not be able to choose what public investments are right for investors. Its our money not yours. By doing so youre only taking care of special interest groups funding your campaigns and lining your pockets with perks for their personal gain, therefore crushing the very people trying to get ahead financially in life! Who do you work for, the people or the evil specialist interest
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change setting forth the basis for its determination that the accuracy and reliability of the Consolidated Audit Trail (“CAT”) meet the standards approved by the Commission in SR-FINRA-2020-024 for purposes of eliminating the Order Audit Trail
This rule is absolutely unfair and limits the ability for average retail investors to earn outsized gains in the stock market. It makes it an un-level playing field with these products available to only large institutions and wealth managers, who in turn will charge extra fees to access these products. Putting a small allocation on my portfolio in an Leveraged and Inverse ETFs has personally
Do you REALLY think the solution is to allow the members that have been engaged in blatant market manipulation against retail investors to make the judgement call on whether a retail investor is being taken advantage of and disable their ability to buy or sell a stock?!?!?!?!?!?!?!?!?!?!?!?!?!?! Do you even begin to understand how negatively this will impact retail investors when their positions
(a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably designed to enable the member to meet its existing obligations to customers. In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-
I am a retail investor. I believe OTC options trades are a great systemic risk as they are not properly regulated. As FINRA is an SRO I believe it should be required that all OTC options chains be publicly disseminated in order for regulatory integrity and public trust to be maintained. In order to maintain competitiveness and not price smaller firms out of the market, FINRA should create a
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are
There is an obvious lack of regulation when it comes to short positions. The regulation that exists does not offer enough punishment to deter unlawful actions. The threat of jail time would be a much better deterrent for fraudulent activity as compared to fines. Isn't this how it works for everyone, or just the lower classes? There are two currencies; money and time. Criminals can make their
