First let me say that I am a Roosevelt supporter (Teddy and FDR), not anti-government.
I have traded ProFunds, which offers shorts and leverage, for about ten years. ProFunds is my favorite fund family.
I do not have an advisor or broker, and I never have or will. Common knowledge is that advisors underperform markets by the amount of their fees.
What regulators should do, if our bribed
Dear Sir/Madam: I am an active investor with more than 33 years of successful investing experience in global capital markets.
I am also a licensed Financial Advisor with one of the largest wealth management firms in North America. Based on my many years of experience in the investments business I can confidently say that leveraged and inverse mutual funds and ETFs are extremely important and
I've been trading and investing for nearly ten years. This is not the first time I've seen proposed restrictions to leverage ETF trading. I'm disappointed to see this coming up again. The last time it appeared was around the same time the crypto market was starting. Given the size, mess, and potential for fraud and chaos that crypto is presenting I find it infuriating
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360, its comprehensive review of its operations. In response to the Special Notice, FINRA received a number of comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms. After
Summary
FINRA requests comment on a proposal to require members to publish quarterly order routing disclosure reports for held orders in OTC Equity Securities. The proposed new quarterly reports would be similar to those required for NMS stocks under the Securities and Exchange Commission’s (SEC) Rule 606(a) of Regulation NMS, with certain modifications reflecting the different structure of the
How FINRA Assesses Performance of its Machine Learning Models
Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline. There is still plenty of work in the former scenario, but the latter has become more
Every year, millions of older investors become victims of financial exploitation, resulting in billions of dollars in personal losses. Read more about rules that allow brokerage firms to take steps to protect seniors and other specified adults.
As prepared for delivery.
Essential Elements of Sound Capital Market Structure
Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you
The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
My firm is a 2 principal firm where I do institutional fixed income and my husband does retail. no assistants. I currently report to Trace myself vs. the clearing firm as my public agency clients purchase GSEs that are underwritten throughout the day vs. 1 time like munis and corporates. Only FHLMC and FNMA have P1 reporting on the 1st day, both FHLB and FFCB are S1 reporting. The clearing firm
