Displaying 4061 - 4070 of 9026 Results
Taking away investor rights to risk management assets like leveraged and inverse funds is robbing investors of income and simple tools which can only be emulated with complex options transactions if at all. Such regulation Hurts Investors: It could potentially deny us the freedom to choose investments that could help us achieve long-term financial security. Is Arbitrary and Unworkable: FINRAs
I should be able to choose what I invest in. Why is gambling legal but I can't invest in what I deem appropriate? Gambling always has a house advantage and I cannot come out ahead in the long run but with investments I know exactly what I'm getting into and the risks involved. I should be able to store my money with NEXO or Celcius without having regulations shoved onto me. I should be
FINRA, Most people, including myself, who have managed to save any money are fully capable of researching leveraged funds and deciding if investing in them suits our needs and risk levels. We should not have to go through any kind of special process or pass any kind of a test. These funds are mostly used to hedge against unexpected shocks to the market and must be entered into, or exited, in a
To Whom it May Concern, I was troubled to learn that the FINRA is considering passing SEC Proposed Rule #S7-24-15, which would affect individual investors like myself from using several popular public investments, including leveraged and inverse funds. I believe that I, not regulators, should be able to choose the public investments that are right myself and my family. Public investments should
Entities which are found to be breaking the law need to be punished for doing so. Failing to respond to the actions of malicious actors leads to instability in the system, an imbalance of power when there should not be one, and a loss of trust in the viability of the system itself. The punishments must be sufficient to discourage future attempts and breaking the law. If breaking the law and
FINRA 21-19 is a long overdue change needed to bring our markets back into the light. 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to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy.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
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
I oppose the proposed restrictions to accessing leveraged ETFs. Creating a two tier system for wealthy elites verses main street investors is not acceptable. It would be wholly inappropriate to force investors out of leveraged positions during a major market correction simply because the SEC has deemed poor people as idiots. I am disgusted with the SEC's pervasive attitude that main street
The Neutral Corner—Volume 4, 2020
Mission Statement
Year End Message
Court Upholds Panel’s Authority to Order a Virtual Arbitration Hearing (by Brianna Akerley, Case Administrator, FINRA Dispute Resolution Services, Midwest Region)
Virtual Arbitration: Best Practices for COVID Times and Beyond (by Dan Zailskas, Case Administrator, FINRA Dispute Resolution Services, Southeast Region)
FINRA
(a) Reportable System Transactions
Members shall comply with the Rule 7100 Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be