The amount of retail investors and in particular those under 30, that I've heard of that have gone broke over the past four months in particular and who are making horrible decisions trading options and crypto products is terrifying!
People are maxing out their credit cards or taking out personal loans to frequently buy high risk and low return investments! Selling options on volatility
WASHINGTON – FINRA today published its 2019 Report on FINRA Examination Findings and Observations. The report reflects key findings and observations identified in recent examinations, and contains effective practices that could help firms improve their compliance and risk management programs. It summarizes findings and observations across a range of topics, including supervision, cybersecurity,
Please do NOT restrict the use of leveraged ETFs in ANY way. Just this proposal is outrageous: You think only rich and privileged people understand risk? How condescending is that? Leveraged ETFs are the only way for middle class investors to have a decent shot of moving out of the middle class as we aim to become financially independent. Almost all retail investors understand the risk and
I do not believe testing investors' knowledge of complex products as a prerequisite to their purchase is an effective way to protect those investors. Test answers could be obtained from the internet without the investor actually retaining the knowledge effectively. Additionally, a lack of understanding of a particular subset of complex products should not be reason to deny the purchase of a
As a Canadian Invested in US equities/stocks market. You need to review/change FINRA 21-19. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is an absolutely necessary change. Many people, myself included, have become quite disillusioned and leery regarding the current United States market, mostly due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable
Let me be absolutely clear. FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of
As an international investor in the US market I believe FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19