As a retail investor and trader, I protest FINRA's consideration to either limit of remove the option of purchasing leveraged and inverse ETFs. This action limits opportunities for retail traders and investors to use these instruments for hedging purposes. Since this is my money at risk and not the general public's I feel I have the understanding and competency in choosing where
I am fully capable to make my own decisions regarding investments. Limiting public investments to a specific few people is directly contrary to the free market system. I am capable of educating myself and do not need a government agency creating a test to determine if I am ready. I do not need someone else to tell me what I am capable of, or if I understand the risks well enough to make good
Equal access to products and services is central to a capitalist economy. Blocking investment vehicles to those on the inside furthers the perception that our financial system is rigged. Blocking a restriction access to these products will only encourage movement of funds offshore and possibly hiding them from regulators. For the sake of the industry and our nation, work to reduce regulations,
TO: All NASD Members and Other Interested Persons
On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.“In recent years, the brokerage industry has continued to evolve and develop innovative services and technologies that have allowed millions
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Executive Summary
Effective April 1, 1998, the Board of Governors (Board) of the Federal Reserve System (FED) adopted several amendments to Regulation (Reg) T, as well as Regs U and X. In
FINRA is a not-for-profit, self-regulatory organization dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our members’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
SummaryFINRA is providing information in this Notice to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including:this year’s training assignments and completion deadline of December 31, 2023;the consequences of not completing required annual training and CE inactive status; andresources available to firms for facilitating
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
