Comments: As an active private investor I understand the criticality of having access to inverse and leveraged ETFs. These products enable long term, full cycle investors to take advantage of short-term trends across multiple market segments, providing diversification and risk management of my portfolio. I would hope that FINRA allows for an expansion of these types of investing products in the
Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved changes to Form BD, the Uniform Application for Broker/Dealer Registration. The amendments, developed in consultation with the NASD, North American Securities Administrators
<p>Permissible activities of a foreign associate.</p>
As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities
Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its specifications.
Executive Summary
The purpose of this Notice is to advise members of the impending election to fill forthcoming vacancies on the District Committee and next year's District Nominating Committee and to communicate with all members the procedures to fill these vacancies. The procedures are described in detail in Exhibit A: 1998 District Election Procedures.
This Notice also serves to advise
Its a start and a move in the correct direction. I support the implementation of this providing it is all publicly reported at the same time industry gets the data. However, it doesn't go far enough to deal with the years long joke that is FINRA "playing a critical role in ensuring the integrity of America’s financial system"... maybe the cronyism can stop for all of 2 minutes and
This market manipulation should not be happening in the USA. A lot of people got hurt Financially and mentally. The number one reason I don't like the Short Sellers is because they are hurting the USA economy. The shorts sellers to me personally are the biggest scammers in the history of the world. They need to pay the bill to everyone including the US economy
Dear FINRA, Thank you in advance for hearing me out. I oppose regulation that would require testing, verification of net worth, broker approvals, paused trading periods, and other burdens that would inhibit my ability to control my investments and financial future. Hedge funds and inverse funds are an important part of my portfolio and allow me to protect my retirement portfolio. Additional
