I am writing to protest the planned FINRA regulatory notice #22-08 that would restrict my right to invest in leveraged and/or inverse ETF products. These types of investment products are not for everyone but they do serve an important role in hedging and investment strategies for experienced investors who understand and can managed the inherent risks. Furthermore, banning these investment
Dear FINRA, I am very concerned to learn about possible upcoming restrictions regarding my ability, as an independent small investor, to use complex investments such as leveraged and inverse ETFs. I am scared that these public investments will cease to be available to normal people like me and reserved only for a "privileged elite" of super-rich people and institutions to get richer. I
In the United States, each individual should and have the right to be responsible for ones own decisions regarding his/her own life matters, including ones assets and possessions. Everyone ought to be able to invest in all public securities, since they are to the public. Diversify ones portfolio is a balanced way to invest. Leveraged and inverse funds are part of the vehicles to diversity, which
In my opinion, investors should have the right to decide which public equities, bonds, ETF's and mutual funds they want to buy. The FINRA plan puts this right on the government and regulators, not us. This eliminates our right to decide what is best for me.
Although it is too early to tell, we might be experiencing a major shift in the markets. Let me explain. For the last 40 years
Summary
The United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions that may occur.
This is a reminder that beginning Monday, February 3, 2020, FINRA will no longer support the reporting of transactions to its TRACE and Over-The-Counter (ORF) products via the CTCI protocol.
Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e. not via TRAQS) must migrate to the FIX protocol by Monday,
IMPORTANT
Officers * Partners * Proprietors Operations and P&S Department Managers
TO: ALL NASD Members
In its Notice to Members 84-55 dated October 15, 1984, the Association announced plans to implement a NASDAQ Equity Audit Trail and detailed the seven phases to be followed for completion of the plan. As described in that notice, Phase I involves the collection of additional
During its May 8-9 meeting, the FINRA Board of Governors approved FINRA’s 2023 Annual Financial Report and appointed new members to FINRA’s Advisory Committees.
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or disqualified
