A regulator should not restrict the ability of a private investor to invest/trade any leveraged ETF nor should there be any restriction on shorting the market through an ETF.
I as a private citizen should be allowed to make investment decisions without being regulated, this is part of what makes America great and leads to inovation on many levels.
The Books and Records topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
What is Gson? Gson is a Java Library widely used to convert Java Objects into their JSON representation and vice versa.
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their disclosure obligations when marketing mutual funds and other securities and requests comment on whether a rule should be adopted creating a requirement to
During your first week at a new job, you typically focus on the basics – locating your office, setting up your computer and getting acquainted with new colleagues and acronyms. If you're Greg Ruppert, who joined FINRA on March 23, 2020 as the new Executive Vice President, National Fraud and Financial Crimes Detection Programs (NCFC), you mark your first week by establishing FINRA's
I am writing to express my opinion about regulating investment choices.
The government has no right to interfere with a person's choice of where to invest. This is a personal and private matter.
No government agency should be telling a citizen where and how to invest their money. This is a massive over reach. Similar to forcing average citizens out of private equity investing.
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Summary
Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products. The new requirements for initial and maintenance margin are detailed below.
In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio
