Summary
With the recent increase in the number of customers seeking to open brokerage accounts and trade options, FINRA reminds members of the requirements for determining whether to approve a customer to trade options. Regardless of whether the account is self-directed or options are being recommended, members must perform due diligence on the customer and collect information about the customer
Exchange-traded products (ETPs) including exchange-traded funds (ETFs), exchange-traded notes (ETNs), and commodity and currency ETPs have surged in popularity over the last decade. Risks vary for each product, with some types of ETPs exposing investors to both complexity and significant danger of losses. Volatility-linked ETPs are one such example.
Retail investors are already at a distinct dis advantage as far as technology and ability to manipulate like the large investors, short sales should be reported daily and the fines for manipulation should be more than a slap on the wrist where the large investors weigh fines versus profit and laugh as they take the fine Retail investors need a closer fair field of play or you will see the stock
FINRA 21-19 is a long overdue change. A free and fair market is a strength of the US and it is obvious the integrity of those markets has been strained this last year. Part of that is due to FINRA's outdated short interest reporting policy. Even with some of the proposed changes in 21-19, there are still some gaps that do not account for synthetic shares that should be addressed as well.
FINRA 21-19 is a long overdue change. The market is a nonsensical mess as a result of the outdated "regulations" and lack of proper enforcement. You've encouraged a system that promotes Loopholes. Regulatory Notice 21-19 NEEDS to be sweeping across all aspects of reporting and closing and holding and marrying or whatever other terms or strategy's relate to Shorts and Reporting
Continuing Membership Guide - Frequently Asked Questions
I guess the idea of more far-reaching regulations is to protect some some investors from losing money. But what about those who might make money? Why should policy be based on one group, and not the other? But even if it would save all investors money, I would still opposed to it -- because it is not the role of government to effectively be making investment decisions for its citizens. The whole
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect.
I use leveraged indexed ETF's actively trading them over short time horizons under steady participation in a long time horizon (25+ years) to smooth out inconsequential market fluctuations, even as much as 50%+, as part of my overall portfolio strategy. The financial services providers servicing these funds have been
Risk and reward go together in Free Enterprise. The responsibility to understand risk and then willingness to engage are an individual's prerogative. Those of us who are educated, responsible, and recognize the downside should be allowed to invest in leveraged funds. I am somewhat offended that people who don't understand the risk "cry foul" when they don
To The Financial Industry Regulatory Authority,
I'm disappointed to learn you are considering measures to prevent or restrict my choice to purchase complex products. Even though they are a small piece of my portfolio, they are very important. They provide a hedge to balance my portfolio and reduce risk. They also outperform most of my portfolio on a short term allowing me to increase
