There is no good reason that investors of any kind should be segregated and barred from any type of public investment vehicles, especially not on account of available funds. This rule banning certain investors from inverse and leveraged investment vehicles would limit individual investment strategies and only benefit large institutions. It is fundamentally unfair and disrespectful to the
To whom it may concern, I am writing to inform you, as an investor that 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 of the public, not just the privileged. I don't want to go through any special process like passing a test before I can invest in public securities, like leveraged and
I have been using inverse and leveraged funds for at least 15 years, typically as hedges during periods of market decline or high volitality. I invested our portfolio exclusively in stocks for over 15 years on my own, and even though Im now old enough (74) to be mostly invested in funds instead of stocks, I still use inverse and leveraged funds to meet my long term investment goals. Im am
FINRA New Issue Form Changes – Live Today
This is a reminder that beginning today, Monday, September 28, 2020, the updated FINRA New Issue Form is live. Users can access the new platform by going to https://newissue.finra.org or via the FINRA New Issue quick link in the FINRA Gateway and logging in with the same log in credentials used to access the retired FINRA New Issue Form.
To
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 4, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA
(a) Any person who proposes to form a member organization and any member organization which proposes to admit therein any approved person shall notify the Exchange in writing before any such formation or admission and shall submit such information as may be required by the Rules of the Exchange. No such member organization shall become or remain a member organization unless all persons required
The following are frequently asked questions (FAQ) regarding renewals that are applicable to broker-dealer (BD) firms. If your firm is a joint broker-dealer/investment adviser (BD/IA) firm,
We encourage you to follow FINRA via social media, RSS feeds and email subscriptions.Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views. Any opinions or statements expressed on other accounts do not reflect the views of the organization.Social MediaX/Twitter@FINRA has the latest press releases, speeches and announcements.@FINRAFoundation
Background
An important part of FINRA's work involves providing investors the information and tools they require to make informed decisions about their assets and avoid dealings with bad actors. Several respondents to the Special Notice on Engagement issued in March 2017 provided a range of recommendations related to FINRA's efforts in the area of investor education—including the types
This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
