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To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.
Following is a list of Rule filings by the NASD regarding broker/dealer regulation that are pending at the SEC or recently approved. Copies of Rule filings (and any amendments), the SEC release publishing the
It was shocking of knowing that our regulators plan to limit our right to invest in leveraged and inverses funds. Certainly, we understand the risk of investing and the choice of risk and reward should be left to the investors. The investment choices and the type of investments should be open to all, but not just a few privileged, i.e. the wealthy ones, and the investment firms...etc. As an
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
Hello FINRA,
I have been using leveraged ETF's in my portfolio using a strategy based on an algorithm that helps me decide when to buy and sell and I have been successful using this strategy. I have a firm belief that I, not the regulators should be able to choose the investments that are right for myself and my family. Public investments should be available to all of the public, not
Washington, DC - The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its Trade Compliance and Reporting Engine (TRACE) to include debt issued by federal government agencies, government corporations and government sponsored enterprises (GSEs), as well as primary market transactions in new issues.
Washington, DC - The FINRA Investor Education Foundation (Foundation) launched its fifth general grant program today, formally inviting non-profit groups and researchers to apply for funding for projects that support its mission of providing Americans with the knowledge, skills and tools necessary for financial success.
Study Suggests Overconfidence in Financial Knowledge May Lead to Excessive Financial Risk Taking Among Older Investors
WASHINGTON, D.C. – America’s older investors, many facing diminished financial knowledge and overconfidence in their ability to make sound investment decisions, may engage in more risky financial behaviors as they continue to age, according to new research from the FINRA
Dear FINRA, As a US citizen and investor, I expect to be able to make my own decisions when it comes to my investing choices. Individuals should be able to choose from a variety of investments, including leveraged and inverse funds, in accordance with what is right for them in their own opinion. We are adults and can make our own informed decisions without having to jump through additional hoops
While I understand the SEC's concern to protect potential investors, straightforward access to leveraged and inverse funds are an important part of many, including my own, investment strategies. I have an extensive long portfolio and I use leveraged and inverse ETFs to hedge my long positions. This has been especially helpful to my bottom line in these recent volatile market sessions.
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2021 FINRA Board of Governors Meeting.