Dear Regulators, I STRONGLY APPOSE the proposed restrictions for my individual use of Leveraged and Inverse funds. By taking away our individual ability to trade these funds, you are handcuffing the people who need this most in the name of protection. We don't need your protection! Let us be responsible for ourselves. You will allow institutional investors to take advantage of all Leveraged
To Whom It May Concern That is Trying to Intervene in The Market, I am a strong opposer of regulatory bodies protecting investors by interfering with an already not-so-free market by attempting to become an ever-larger babysitter. Please, give the market its voice back! If there is demand for various risky investment vehicles, allow that demand to be met by additional supply of new risky assets.
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional
FINRA’s National Cause and Financial Crimes Detection (NCFC) Cyber and Analytics Unit (CAU) has noted a recent alert issued by Microsoft on May 30, 2022.
The Microsoft alert describes a remote code execution vulnerability, named “Follina” by security analysts, related to the Microsoft Support Diagnostic Tool (MSDT) that can be used by a threat actor to run malicious code. As a result, a threat
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Comments:I have used various leveraged etf in conjunction with my stocks and mutual funds for years. Im an individual investor with a regular job. Anyone investing in this category is responsible to do their own research regarding the risks and benefits on the direction website. There is short but effective information readily available pertaining to the nature of these levaraged investments. As
Retail trader here I believe FINRA 21-19 is long over due the integrity of the United States market depends on it and here's why. The policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they leave significant specific gaps that could compromise the entirety of 21-19's purpose. It is important for the restoration of both the
The FINRA Board of Governors is holding its final meeting of the year, with Board committees giving consideration to multiple issues.
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On July 19, 1995, the Securities and Exchange Commission (SEC) approved new NASD Mediation Rules (Rules) to take effect August 1, 1995. The new Rules provide a structure for the NASD to administer a Mediation Program as an informal and less adversarial alternative to
