The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
One in Five Investors Started Investing Recently
Younger Investors More Comfortable with Risky Investments
One Third of Investors Open to Cryptocurrencies
WASHINGTON—A substantial proportion of investors joined the market relatively recently, younger investors are more likely to engage in riskier investment behaviors and a third of investors are considering investing in
Comments:Please allow an individual to make his or her own choices. The risk I take are mine, and mine alone. I rely on the SEC to keep thing honest, and to make sure people are informed. I have gained a great deal by employing higher risk index funds, and wish to continue. Thanks
FINRA has made minor cosmetic changes to the MFA process
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As you may be aware, FINRA has already begun the rollout of FINRA Gateway—your new front door to FINRA. This new platform is intended to streamline compliance functionality. Throughout the development process, we are working with our users within the industry to add value to their interaction with our systems. As a user of a FINRA system, we want to ensure you have an opportunity to provide your
Fairness , Transparency and access to all/same information and tech the big guys are using. Fair market all around. Justice for the little guys. For what they did to us in 08 and for what they are doing now. Malpractice Market manipulation
It is more than obvious that several agencies are not complying with the rules for naked shorts and FTD's. Retail investors should have the same real time information as hedge funds to include short interest and real time trading.
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints
WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written
I oppose restrictions to my right to invest. We are capable of making our own investment decisions and have plenty of information to do so. If I chose to use leverage or inverse funds then I am better off for having access to these types of investments. Do not take this right away. Thank you.
