The proposal to ban or limit leveraged ETFs is downright wrong and is un-American in every aspect. These are valid & legal securities, just like gold, or bonds, or any single stock. Do traders of these assets need special approval, or have any other restrictions to their trading?
An investor or trader can lose just as easily and quickly with any of these assets, or even real estate
This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
Good evening, I write to explain my frustration with the current market, some market makers as well as bad players. The United States stock market is currently very manipulated and it is becoming so obvious that I feel it is endangering the US stock market. Short selling has become a big problem for a few players out there. I believe they have made a lot of money and when caught the fines have
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange and for trades in Restricted Equity Securities effected under Securities Act Rule 144A and dissemination of last sale reports.For those OTC Equity Securities and Restricted Equity Securities that are not eligible for clearance and
I would like to submit a public comment on possible restrictions on my right to invest in public investments. Especially leveraged and inverse funds.
By way of introduction, I am 60 years old, and make most all of the financial decisions in my household. I am an active investor in stocks, funds, bonds, emerging markets, and crypto. Basically, I trade in multiple and varied securities, and run
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
The Outside Business Activities and Private Securities Transactions topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
A self-directed individual retirement account (IRA) is an IRA held by a custodian that allows investment in a broader set of assets than most IRA custodians permit. Custodians for self-directed IRAs may allow investors to invest retirement funds in “alternative assets” that have unique risks, including a lack of information and liquidity—and the risk of fraud.
