I oppose these proposed regulations because I already have full access to information about the risks of inverse and leveraged funds and further federal gatekeeping is not needed or welcome. Especially in markets that reflect the heavy hand of the Federal Reserve investors ought not be barred from protecting their own financial interests with a full range of investment tools.
Please do not restrict investor access to complex and leveraged products. Yes, there ought to be disclosures of risks and transparency around fund mechanisms. In other words: informed consent. But barring access is undemocratic and wrong. Many leveraged funds are useful tools for investors who lack the requisite capital to use futures to achieve leverage.
Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities.
GUIDANCE
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Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints
SFTP Fees for Trade Journal Files
Firms that choose to subscribe to the TRACE, ORF, ORF Clearing, and/or ADF Data Delivery SFTP services will be assessed monthly charges for each MPID or clearing number they enroll in each service. Charges will appear in each facility's bill (e.g., TRACE charges will be included in the firms' monthly TRACE bills, ORF charges will be included in the
Held between November 2021 and August 2024, the Disclosure Reporting Webinar Series provided basic information about different types of reportable events. These sessions were designed for compliance professionals at FINRA-member broker-dealers who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives and firms.The content of the
The Neutral Corner—Volume 1, 2020
Mission Statement
Office of Dispute Resolution and FINRA News
COVID-19 Notice to Parties and Arbitrators
Case Filings and Trends
2019 Arbitrator and Mediator Diversity Statistics
Removal of the Award Information Sheet from FINRA's Website
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Amendments to FINRA Rule 12000 Series to Expand
I’ll keep it short (no pun intended) and simple: as a retail investor, all I am asking for is a fair, level playing field. Currently, we are not getting that. Please adjust and enforce the rules so all retail investors receive the same timely information and opportunity as the Hedge Funds. Thank you!
As a mostly outside observer who has be diving into the inner workings of the mechanics behind short selling, I've noticed that the lack of transparency effectively makes it impossible to determine the overall value of the short positions that exist, along with a lack of information about how many synthetic shares are created and how positions are opening and closing on a regular basis. This
