Executive Summary
The Central Registration Depository (CRDSM) Redesign will require several action items from members. A Membership On Your Side will be mailed to the CRD contact in each member firm in the next couple of weeks that contains several items on which members must take action, CRD system pricing information, a list of service bureaus, and a Site Preparation Guide.
Questions
These financial insteuments are vitally important for an informed and sophisticated investor to use for the retail investor. Perhaps vetting new investors is a better option. For any investor with years of experience, these leveraged instruments are vital and must be kept.
I understand the value of short selling. I understand it is a mechanism to root out unsavory characters that may be using subversive tactics to artificially prop up a stock/ security, however I do not understand why, in 2021 we as retail investors do not have access to the same information at the same time as institutional investors? how is that a free market? again its 2021 and we have internet
Re: Request for Comment on Day Trading Rules (Regulatory Notice 24-13)To Whom It May Concern:Jake P. Noch Family Office, LLC. (“JPN Family Office” or “we”) appreciates the opportunity to comment on FINRA’s review of the rules governing day trading and pattern day trading (the “Rules”). We commend FINRA for periodically reassessing the Rules in light of evolving market conditions, technological
An overview of the scenarios described in FAQs 39-44, covering Form BR filings—initial and amendments—for FINRA and a jurisdiction, and the NYSE, as applicable.
I'm an individual investor who trades leveraged products and options on an almost daily basis. Leveraged products and options have become the cornerstone of my investment strategy and provide the income stream I need to live on in my retirement. I've spent over 12 years as an active investor and have put the time and effort into learning how such products work using all the
You have made this notice complex. I only agree with giving the investor more information 2c. If you want to regulate something make Companies that issue a K-1 to shareholders be required to use a stock symbol ending in K.
My investments are my own choice. I interact with these investment options with a full knowledge of their potential risks. There is more than sufficient information available to the average investor to ensure full comprehension of these vehicles. Do not restrict this accessibility.
Regulators should not determine what risks or opportunities that I want to apply to my portfolio construction. Hands off the tools I use to hedge and diversify my portfolio. There is already plenty of literature and information on the risks associated on these investments.
As an investor, I would like to be able to choose the best investments for my personal situation. I have access to a financial planner and I am well informed of the risks in trading leveraged securities.
I am against any further regulation.
