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I have been managing my own investments, and trading leveraged and inverse funds for many, many years. "I", not regulators, should be allowed to invest in the products of my choice. I worked as a CPA for many, many years and consider myself to be well informed regarding leveraged and inverse funds. I am not trading on margin. I am using my own hard earned money for trading. Regulators
The Consolidated Audit Trail (CAT) section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Subject - Petition to FINRA opposing FINRAs proposal to restrict / stop trading in Leveraged ETFs / ETNs
I submit that the current controls of my broker when any investor invests in any leveraged ETFs / ETNs are adequate.
1. Every investor when trades in Leveraged ETFs / ETNs mandatorily signs the Designated Investments Agreement that clearly states the risk & the qualification
I submit that the current controls of the brokerage company when any investor invests in any leveraged ETFs / ETNs are adequate.
1. Every investor when trades in Leveraged ETFs / ETNs mandatorily signs the Designated Investments Agreement that clearly states the risk & the qualification
requirements.
2. Every time the investor places order of any Leverages ETFs / ETNs, the system
Joint Research by FINRA Foundation, BBB and Stanford Center for Longevity show increased public awareness from news media reports, word of mouth and business intervention boost consumers’ defenses
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today released new fraud research that shows that the scams with the highest engagement and victimization rates involve online
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Executive Summary
Effective June 1, 1995, the Securities and Exchange Commission (SEC) is adopting Rule 17a-23 and Form 17A-23 under the Securities Exchange Act of 1934. The Rule requires broker/dealers that operate automated trading systems to maintain participant, volume, and transaction records, and
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
February 1, 2001The first quarter 2001 software release for OATS contains two enhancements that will significantly affect NASD member firms, service bureaus, and clearing firms.The first enhancement is to empower member firms with the ability to control who submits order data on their behalf. OATS will give member firms the ability to set up reporting relationships with their Order Sending
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today announced that is has proposed a pilot program for the margining of credit default swaps (CDS) by FINRA-registered firms that clear CDS transactions on the Chicago Mercantile Exchange, other central counterparty platforms or outside of such platforms.
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout