FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 14, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 13, 2022
I understand that FINRA is considering putting additional restrictions and / or eliminating a whole range of ETF products. This greatly concerns me.
From the list of products that are under consideration, I frequently use some of them, and currently have positions using these ETF's. I do strategically use some leveraged funds, but the funds that I am particularly concerned about are the
ProShares, a purveyor of leveraged ETFs among other "complex products", is canvassing its shareholders to submit public comments here. I am one such shareholder, but personally I'm glad that FINRA is helping to protect investors from the pitfalls of complex products, which, as the notice rightly states, can be dangerous to the uninformed. Increasing the barrier of entry to these
FINRA should not impede retail traders. FINRA should instead regulate institutions to prevent them from taking too large positions all on one side as seen with so called "meme stocks". Institutions all have the same information, they all bet on the same side of futures and create volatility far in excess of their ability to cover positions. Through this practice of
In addition to disciplinary proceedings brought by FINRA’s Department of Enforcement, the Office of Hearing Officers also hears expedited proceedings. This Guide describes some of the Rules for expedited proceedings, which are fully set forth in Rule 9561 and the Rule 9550 and 9100 Series of FINRA’s Code of Procedure.
The purpose of this Guide is to assist the reader in understanding FINRA’s
SummaryAn efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the
This attempt at limiting my ability to invest and trade is outrageous. This is regulatory over reach that assumes we are unable to make our own informed decisions about our investment portfolios. Please consider that my family and I should be able to choose unfettered, which investments are best for us. We should not be burdened with a special and arbitrary process. Leveraged and inverse funds
To Whom it May Concern: As an educated citizen of the United States of America, I should have the right to invest in securities that best suit myself and my family. Since I am educated, I have the ability and the responsibility to be informed about the positions I purchase and the investments I make. As such, I can benefit from the profits and bare the losses of my own decisions. The government
It is not the responsibility of an outside party to decide what is best for me or my family. They have no knowledge of me or my situation. It is my responsibility to review, assess risk and act in my best interest. To that end all risks and rewards are my own. Please stay out and stop the over regulation and coddling based on your need to control and "protect the less/under informed".
I, not regulators, should be able to choose the public investments that are right for me and my family. Public investments should be available to all the public, not just the privileged. I am capable of understanding leveraged and inverse funds and their risks. Leveraged and inverse funds are important to my investment strategies. I cannot buy puts in all my investment accounts. Inverse funds are