The Dispute Resolution Portal (DR Portal) is a self-service system that allows participants in an arbitration or a mediation to log into a secure area of our website so they can submit documents and manage case information.
FINRA’s Board of Governors met on March 9 and 10, and it approved a proposal to shorten the securities settlement cycle from two business days after the trade date (T+2) to one (T+1) and approved the allocation of 2022 fine monies to various capital initiatives.
Distributed Denial of Service (DDoS) Attacks on Member Firms
Asa long as investors have access to information they should be allowed to invest in what every type of instrument there is available. I've invested in stocks, options and most disappointing are mutual funds that you think are managed for your benefit but in a market down turn they just hold there positions. What about big time investors who take peoples money invest in companies like
You seem to be planning to go far beyond any legitimate mandate. Your role should be to make sure investors are adequately informed of the risks of leverage . Make the management pepper their ads, reports etc with as many dire warnings as you like, but kindly allow investors to manage their own risk tolerance. Being a watchguard for investors is not the same as being our mommy.
Roger H. Kaye, MD
I believe I should be allowed to make my own informed decisions about investing in any public security. There are ample warnings and notifications in place and to segregate and make one class that is useful in hedging my portfolio harder to access only adds unnecessary and burdensome complications. While it is only a small part of my portfolio,over the past 10 years it is my second best
This is my money and I should able to choose my own investments. Inverse and leveraged funds are a strategy to combat the hedge funds and institutional money - both are market manipulators. Try regulating them. And, try regulating Congress - they abuse the system and make investments off inside information but no regulations there. So, let's just regulate the common people, of course.
1. Enforcement should be as immediate as possible. 2. Transparency : Give detailed numbers, company names and extended information on your investigation. 3. Bigger fines. Let's be real. The fines you're giving are symbolic. What's even the point exactly? 4. Kinda unrelated but maybe the best way to enforce those ruled is for finra to cease to exist? And be replaced by a public
Dear Regulator: Leveraged and inverse funds are important hedges for me. Thanks to them my capital reached nearly its highest point in ten years. I've learned how to use them, and I know what I'm doing, so please leave my investments alone. Thank you. By the way it sounds like you know what is coming and when and are preparing for it. Please share your information. Thanks.
After over 40 years of equity trading, I , as other investors, are careful to invest within our own comfort zone and abilities. It is easy to see and understand the possible consequences of leveraged ETF's as well as other funds. I feel the individual is capable of determining what instruments are appropriate for each individual. I feel regulation beyond providing information is unnecessary
