Brokerage firms are typically paid transaction-based compensation, which means the firm might have an incentive to encourage you to trade often. If you notice a seemingly high level of activity in your brokerage account, this could be a sign of a type of misconduct known as “excessive trading.”
I'm an informed investor and aware of the possible risks involved so please don't take away the freedom of what I want to do with my money.
As a retiree with long service in paying taxes and abiding complexity. This proposed change
Serves no benefit to citizens making informed choices to invest in public equities.
These products have been around for years with no 'damage' to any investors. Informed investors are fully aware of the risk associated with both Inverse and Leveraged ETFs.
Inverse fund are an important check on the stock market. I believe that individual investors, when informed of the risks involved, should be able to choose to invest in these funds.
To conduct securities transactions and business with the investing public in the United States both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer. The New Member Application Form (Form NMA) is used by FINRA’s Membership Application Program (MAP) Group to assess whether an Applicant meets those
Hello, I dont want my rights limited in terms of my investment choices. Im an informed investor and dont want to lose access to these funds.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of September 27, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter September 26,
