Hi,
As an investor, I own a few leveraged ETFs which are critical part of my overall asset portfolio. I strongly oppose any plan to restrict access to these ETFS by any means because investments in these leveraged ETFs are my rights and setting any restrictions may hurt my wealth. I fully understand the risk and rewards of the leveraged ETFs and hence make my own investment and trading decisions
Comments:Given that it's been banks and wall street that has crashed the stock market numerous times with their wild gambling and poor planning, even though they're supposedly sophisticated traders with lovely certificates attesting to the fact, perhaps you should tighten regulations on the financial giants and leaches in the system before you go after the small people. Have
This ruling goes against the rights of all types of investors. You will have millions of u.s. investors leave the markets for good, if the markets can only go up with no inverse to be a cobtrarian vehicle to the ebbs and flows of the market. Shame on finra lately and the top 5%. Let the class warfare begin. Shame on you guys over at govt. agencies. Specially the tsp plans of the military to shut
<p>Application of Rule 2210 to the use of investment projections and marketing material when registered persons are conducting advisory services.</p>
(a) Clock Synchronization
(1) Each Industry Member shall synchronize its Business Clocks, other than such Business Clocks used solely for Manual Order Events or used solely for the time of allocation on Allocation Reports, at a minimum to within a fifty (50) millisecond tolerance of the time maintained by the atomic clock of the National Institute of Standards and Technology ("NIST
Summary
This Notice reminds members of the Securities and Exchange Commission’s (SEC’s) adoption of a best interest standard of conduct for broker-dealers and a relationship summary (Form CRS) delivery obligation, and provides an SEC email address where members may submit questions about the new requirements. As more fully described below, the SEC encourages firms to actively engage with SEC
You need to increase fines for non-reporting of short positions. The current plan is not even comparable to a slap on the wrist for the large hedge funds. It would more than likely hurt them less to pay the fines than to actually report on their short positions. As for the frequency of reporting, daily with full transparency in all aspects of the market would be appreciated but impossible. Also
As previously announced beginning Monday, September 9, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds.
(a) The Financial Industry Regulatory Authority, Inc. delegates to its subsidiaries, FINRA Regulation, Inc. and FINRA CAT, LLC (hereinafter "Subsidiaries"), the authority to act on behalf of FINRA as set forth in a Plan of Allocation and Delegation adopted by the Board of Governors and approved by the SEC pursuant to its authority under the
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
