The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
Frequently asked questions about Structured Product Reports
Leverage accounts have been a part of my portfolio for years. It has given me a chance to make smaller dollar investments with the opportunity to make nice gains.
It definitely helps individual who do not have enormous amounts of capital.
Removing leverage accounts is un-American.
I strongly oppose limitations on investments.
USA was and has been built on the idea of venture into the unknown amid uncertainty. Restricting the free idea that one can succeed based on one's certainty of future and one's self-respect concerning the inherent or cultivate confidence is subduing the very idea of freedom behind the capitalism that has served as the foundation of our great nation.
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
15c3-1f(a) Application Requirements
An OTC derivatives dealer may apply to the Commission for authorization to compute capital charges for market and
Use of derivatives was proposed by Anddre Perod of Harvard Business School in about 2000 at the HBS Investment Management lectures. Security markets are not a one-way street, he explained. It is a good way to hedge portfoliios, and with leverage it can provide an efficient use of capital so long as there is an appropiate risk discipline as volatility is maximized.
Comments: Please do not get rid of leveraged inverse etfs. It gives people with less capital a chance to hedge their existing positions and even profit off the losses in their existing stock. The rich will always get richer in these situations, you will only be taking away our opportunity to make money in those situations.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 7, 1986, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,580. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
An investment's performance is more than just the amount a stock, bond or mutual fund has appreciated since you bought it. If you want to make informed investment decisions, you should learn how to calculate your return on investment, or ROI.
I cannot express in the strongest of terms that it is my right as an individual investor to have the freedom to analyze macro-economic conditions and make investment choices that protect/grow my capital. This includes the possible need to invest in leveraged and inverse funds if the market conditions call for it with all the individual risks that go with personal ownership of alternative
