Stocks should not be exchanged in unregulated, unmonitored dark pools. Furthermore, dark pool information should be easily accessible and have personally identifiable information tied to it in an effort to track the source of the share.
I would like to get more frequent information on short % and and not delayed information from days past. This is ridiculous that we have to be requesting this when it should be the norm. Thank you for your consideration.
A high net worth individual with brokerage firm classification of some degree of sophistication should not have to fill in extra paperwork to indulge in a speculative investment.
I am not averse to getting information such as that given for options. It's information that should be in the hands of investors, but what is intrusive and unnecessary is regulatory approval.
Last modified: October 16, 2023In accordance with the FINRA Codes of Arbitration Procedure (Codes), FINRA Dispute Resolution Services (DRS) is notifying state securities regulators of requests to expunge customer dispute information from the Central Registration Depository (CRD®) received by DRS within the past 15 days that are not deficient. See FINRA Rules 12800(f)(1), 12805(b), and 13805(b)(2
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
I oppose any regulation that restricts my right to invest in funds or ETFs of my choosing. In particular, any regulation that restricts the ability to purchase leveraged or inverse funds, provided the funds themselves are regulated by the SEC and full and complete information is available on them such that I'm able to make an informed decision.
Summary
FINRA has adopted amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck as to whether a particular current or former member firm is currently designated as a Restricted Firm pursuant to FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111).1
The new rule amendments become effective on June 1
As an investor, it is my responsibility to understand, research and select investments, along with the ultimate risks & rewards. This is the same I would expect of anyone who is investing.
For leveraged funds, it is a critical part of my broad investment strategy, again knowing the full risks, up & down. All fund prospectus's provides clear picture of the
Investors should have the freedom to make informed decisions about their investment choices. There are those who of us who desire to use reasonable leverage without the burden of adopting complex and costly options hedging strategies. Leveraged ETFs accordingly provide significant value to us as ordinary retail investors. It is hard to imagine anyone who does even a modicum of due diligence (even
