The Liquidity Risk Management 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.
Comments: At every step along the way of purchasing a leveraged ETF or ETN asset, it is very clear that these products should be held for short term active speculative purposes. Every website you go to when researching the products immediately warns traders about the dangers of beta decay due to long term holding of such assets. I would argue that the risks associated with trading leveraged ETFs
Leveraged and inverse funds are highly valued-liquid trading instruments that I find very useful for quickly getting long and or short the market and are frequently used for hedging purposes. These products provide a very effective means to manage capital at market risk and there are no other inexpensive-scalable alternatives available to retail investors. These leveraged products provide
As a long time investor to have this change impact how and what I can invest in is outrageous. These are public investments that I should have the freedom to invest in and not be asked to justify with income or asset levels.
I believe I have a right to choose the assets I invest in. I am capable of understanding the risks associated with leveraged funds. Leveraged funds are a limited part of my portfolio and enhance my returns.
As usual change the rules when the stock market quits going up. Inverse funds help people protect assets during market corrections. Leave things alone please.
There's no sound reason to disallow investors from putting their money towards crypto and futures. Treat it the way every other asset us treated and let the free market decide.
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
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As of September 13, 1990, the following 17 issues joined NASDAQ/NMS, bringing the total number of issues to 2,640:
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There may come a time when you want to transfer your securities accounts between broker-dealers. If so, here’s what you need to know.Most customer accounts are transferred between broker-dealers through an automated process. The National Securities Clearing Corporation (NSCC) operates the Automated Customer Account Transfer Service (ACATS) to facilitate the transfer of a customer account from one
