Displaying 491 - 500 of 1859 Results
TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
Summary
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice
The Liquidity Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I run a Signal Plan that requires the use of leveraged funds (MVV, TQQQ). On a quarterly basis I evaluate whether to buy more or less shares of these funds. I do not need a government agency decidingwhether I can or can not do this. I am a big boy and can make my own decisions.
Thank you.
I'm strongly against the new FINRA Regulatory Notice #22-08.
At first, it jeopardized my right to choose the public investments
Secondly, it shouldn't be a special privilege for a small set of people and it's unfair.
Thirdly, it introduced significant uncertainty on my existing investment strategy and jeopardized my investment plan.
It is my right to buy any stock I want and it is against the free market to limit my right! Also, I have lost since I bought my leveraged stock and I was not planning to sell it anytime soon. By selling my stock, you are forcing me to loose money in short term, which is not fair.
Sec. 4.1 The property, business, and affairs of FINRA Regulation shall be managed by or under the direction of the Board. The Board may exercise all such powers of FINRA Regulation and have the authority to perform all such lawful acts as are permitted by law, the Restated Certificate of Incorporation, these By-Laws, or the Delegation Plan to assist FINRA in fulfilling its self-regulatory
Leveraged ETFs are an extremely important part of my long-term investment in my taxable accounts and also IRA accounts. Please don't arbitrarily dictate what we can invest and what we can't. You will disrupt our retirement plans and perhaps we should sue the authority for the adverse actions.
FINRA,
This new rule seems to badly discriminate against small personal investors. Why are you chasing me out of my current positions in leveraged ETFs? It is a bad plan to make the market for leveraged funds an oligopoly because it comes with the exclusion of disciplined personal investors who are capable of accepting risk.
I use these funds in my 401k and they allow for opportunities not available through most 401k funds offered by employer plans. The individual and not government should have the ability to decide where to invest their funds. It should not require a specific status, we all should have equal access to the publicly traded investment vehicles.