As an individual I should have absolute control and discretion of the investment decisions and options I have and make. Not regulators or any service providers (brokerages) should limit my access to the markets and the products available to investors. Specialized products should not be limited to the ultra high net worth's of the world or their fund managers - that sort of discrimination
I will be 82 in July and have been investing for 58 years. I dont need or want your nanny supervision. I use leveraged ETFs for aggressive speculation and for hedging in my roll over IRA. Is there really a problem here? This looks to me like an effort to expand your government fiefdom by exaggerating the need to rectify an injustice that is either trivial or doesnt exist. With 30 trillion in
As a retail investor the main comment I have about our regulatory system relative to the markets is the penalties need to fit the crime. As it stands our penalties are nothing more than a small cost of business, and profits made far exceed the fines. How do you expect to deter illegal behavior if the penalty for committing it is less than a poke in the chest?? Increase the fines to double or even
This ruling goes against the rights of all types of investors. You will have millions of u.s. investors leave the markets for good, if the markets can only go up with no inverse to be a cobtrarian vehicle to the ebbs and flows of the market. Shame on finra lately and the top 5%. Let the class warfare begin. Shame on you guys over at govt. agencies. Specially the tsp plans of the military to shut
There is no reason all data from the stock market including short data isn’t transmitted in real time. This isn’t the 1920’s and also “family office” is a sham. It was created in the early 20th century and the rules governing them have never been updated. They should report like everyone else or be used as shells for market makers to hide short positions. Options should never be allowed to
Short positions should be force closed on failure to deliver. The ability to cover a failed delivery with options or collateral does not excuse that an investor is actually stolen from with a failure to deliver. Also of concern, the "can kicking" through synthetic share production by means of options contracts. No one should be allowed to have 400 million put contracts on the books. Is
January 2024BackgroundIn November 2022, FINRA launched a targeted exam to review the practices of certain member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services (Crypto Assets).1 FINRA reviewed retail communications received from these firms for compliance with FINRA Rule 2210 (Communications with the Public) which
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
Some characteristics and routine behaviors have been found to be associated with an increased risk of fraud for older adults. Steps like reducing exposure to scams, researching investments, and building financial knowledge can help reduce risk.
SEC Approves Expanding Disseminated Real-Time TRACE Data
