As a programmer, a major source of frustration for me regarding many facets of our market relates to the fundamental lack of speed and automation endemic to our financial reporting pipelines. In a system which promotes and rewards algorithmic and high-frequency-trading, any position which would be reported and analyzed as a document and by a human would (and very likely is!) obsolete, potentially
I am 72 years old, and have been successfully investing for over 40 years. I seldom use leverage, but I don't see how it is anyone's business but mine as to whether I use it or not. I do regularly use inverse funds when the market is trending down, and this is an important part of my investing strategy. Again, I don't need a group of bureaucrats telling me that I am not "
It is common knowledge that markets are manipulated by large funds and privileged wealthy investors. Leveraged and inverse funds are the small investors way to level the playing field. People should have the right to make their own financial decisions. Information regarding risks is adequate to inform an investor who should take responsibility for their own actions. Passing a knowledge test does
Dear FINRA, If you change the rules so late in the game it's not fair. It's not fair for investors and even more so for those already invested. If investors can't buy it, how on earth am I going to sell it? I have losses so I am not even going to profit just get back where I was. Somebody got that money I paid; don't I have the right to get it back? It works both ways...you
Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure). The proposed rule change would (1) make information about formerly registered individuals subject to a final regulatory action available through BrokerCheck® on a permanent
Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
