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Comments: Please continue to allow me access to these products such as inverse EFT's. The companies providing them have given adequate information, and I further can look up information if needed. I understand they have additional risk, however I would like to take that risk for myself and should have to right to do so. Having these products to chose from helps me to balance my portfolio to
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
FINRA 21-19 is something that our "free and fair" markets desperately need. For too long, retail investors like myself have been kept in the dark. It has become more clear than ever that our markets are teetering on a sword's edge due to a lack of transparency and accountability. - Account-level Position Information: Alternatively, FINRA is considering requiring firms to report (
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
SG Americas Securities to Pay $3.1 Million in Total Fines to FINRA and SEC
WASHINGTON—FINRA announced today that it has fined SG Americas Securities, LLC (SGAS) $1.55 million for submitting inaccurate trade data (known as “blue sheets”) to FINRA for more than seven years. Additionally, the firm must also certify within 90 days of this settlement that it conducted a comprehensive review and
It is strange that there is always 'new' regulations but how about ENFORCING the current regulations? Citadel, for one, keeps shorting stock with phantom shares. SEC has been informed but just like Bernie Madoff they ignore all information. The stock market is a joke and is NOT a free market. It will be sad when retail folk start pulling their money out of the market!
You should consider closing any kind of loopholes, also making anybody who is involved a short selling reporter position on a daily basis, and releasing that information to the public immediately. Failure to deliver, should be penalized on a daily basis, and information should be public on a daily basis. Increase penalties for violation of any short and naked shorting violation.
I do not think that the use of leveraged and inverse funds need to be regulated. Any investor who would choose these types of funds has a specific purpose in mind, either of limiting risk without having to sell off positions, or of potentially increasing dividends--for example, in retirement. These investments are not that difficult to understand and can play an important part in a moderately
In today's world we, the public, need alternative ways to invest. we do not need government interference to tell us what is good and bad for us. look at what government did with the virus, screwed up the world. If you want to control something do not let our legislative body have free access to information and then allow them to act on the information. what is good for thee is good for me.
1.) Limiting investment opportunities to those with high net worth is inherently un-American and is borderline predatory on those who would be excluded from making these investment plays.
2.) Leveraged and inverse funds are crucial to my short and long term investment strategies. Information and notices are provided with these, and should continue to be. Expanding information requirements is a