Annual Conference, FINRA's premier event, provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. This year it takes place May 13-15, 2025.
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Executive Summary
Given the growing market for over-the-counter (OTC) derivatives, such as OTC options on individual equity securities and stock indexes, and the Securities and Exchange Commission's (SEC) recent approval of increases in option position and exercise limits, the NASD reminds
Agreeing with Tom Berwick, sending for visibility into this serious matter. I am sick & tired of large hedge funds such as Citadel performing coordinated ladder attacks against GME & AMC, as well as others. Those two charts frequently pattern in lock step with each other. Investors know, as I assume FINRA & SEC does as well, that naked shorting is taking place on a grand
Current FINRA members seeking to change ownership, control, or business operations must submit a continuing member application, or Form CMA. Form BD amendments may be required for some of these Form CMA-triggering events.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing a CMAWhen to File a CMAWhen current FINRA
Y2K Testing Not Required For Legacy CRD And PC FOCUS
Due to the availability of the new Web Central Registration Depository (CRDSM) system and Web-Based FOCUS filing system, the National Association of Securities Dealers, Inc. (NASD®) does not require Year 2000 testing of their predecessor systems - Legacy CRD and PC FOCUSSM. The new systems - Web CRD and Web-Based FOCUS - have successfully
FINRA Rule 2165 (Financial Exploitation of Specified Adults) is the first uniform national standard for placing temporary holds to address suspected financial exploitation. Rule 2165 permits a member to place a temporary hold on a securities transaction or disbursement of funds or securities from the account of a Specified Adult customer when the firm reasonably believes that financial exploitation of that adult has occurred, is occurring, has been attempted or will be attempted. FINRA Rule 4512 (Customer Account Information) requires members to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account.
INANE!!!
If enacted the proposed restrictions of FINRA Regulatory Notice #22-08 would reduce my ability to hedge and thereby would INCREASE the risk in my portfolio. The proposed regulation is another example of cognitive biases in the actions of regulatory agencies. In this case the main ones, among others, being the Illusion of Explanatory Depth, or IOED, and Regulatory bias.
I am certainly
I appreciate the opportunity to comment on this proposed new rule/regulation.
I have held ProShares in one of my portfolios since early 2016. Symbol USD. This investment is up 742.06% and has split once 3:1 which tripled my shares. It has performed well in up and down markets. It has enhanced my returns in this portfolio. Here is its annualized returns 3yr 57.05%, 5yr 44.12%, 10yr 36.42%.
I
An average American who chooses to invest in equities is competent and capable of understanding the various forms of investments and the related risk. Being able to invest in leveraged equities is a crucial part of both traditional investing as well as hedging strategies that are ABSOLUTELY ABLE TO BE EMPLOYED WELL by average people. Reducing the number of potential investments and investment
Hello, I am writing in regards to regulatory notice #22-08.
Please do not restrict access to leveraged ETFs. I am just a retail trader trying to compete in the markets the best way I can. I do not have access to swaps or private markets or high speed low latency connections to exchanges like big institutional traders do so I have to make do with what I have available. Leveraged and inverse ETFs
