I strongly oppose any rule that limits my (or others') ability to implement investment strategy, which at times includes the use of options and leveraged/inverse exchange-traded products. I believe such a rule would cause me personal financial harm. Although I have decades of experience with such products, I oppose any rule for which I must pass tests or meet any arbitrary net worth standard
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
The unbelievable amount of market manipulation is astonishing! It’s really laughable because the government allows blatant illegal practices unchecked until they’re required to cover. All information should be made public because ultimately it’ll strengthen the economy because people will consider it fair! It’s sad a company that’s trying to get off foot is constantly able to get beaten into
FINRA should immediately move to require daily short interest reports. More and better information will allow for better price discovery, which is the whole point of markets. FINRA should also consider making rules that punish those who commit FTDs (Failure to Deliver). Market Makers should have their naked short selling exemptions removed or severely limited. Finally, FINRA should move to
Leveraged and inverse funds are important part of my family investment strategies. We, not regulators, should make the decision about public investments.
Don't be fooled by those who think investors are need more government oversight. We are smart enough to understand these products. They play a role in letting the small investor protect and enhance their investments. Small guys like me
The North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.
In 2021, considerable industry, and in some cases public, attention was focused on topics that FINRA also addressed through its exam and risk monitoring program. These topics include newer SEC Rules (e.g., Regulation Best Interest (Reg BI), Form CRS, amendments to Rule 606), recent increases in the number and sophistication of cybersecurity threats, and the proliferation of securities trading
The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models and processes. While the true implications of the metaverse may not be known for years, the report analyzes potential applications, use cases and challenges for member firms and notes certain regulatory considerations.
When it comes to the death of a brokerage account holder, many firms have trained staff and resources to help the living manage estate matters. Once a firm has been notified of the death of an account holder, here are some things you can expect.
Hello,
I am a retail investor and I have been investing / trading for last several years. I understand the risk / reward relationship associated with leveraged ETF like TQQQ or SQQQ. I have my strict buy/sell rules that govern my trade executions and I am very confident that I can manage my account and investment actions.
Investing in leveraged ETFs is a way that an individual can use to secure
