Last modified: October 16, 2023In accordance with the FINRA Codes of Arbitration Procedure (Codes), FINRA Dispute Resolution Services (DRS) is notifying state securities regulators of requests to expunge customer dispute information from the Central Registration Depository (CRD®) received by DRS within the past 15 days that are not deficient. See FINRA Rules 12800(f)(1), 12805(b), and 13805(b)(2
As a personal investor, I understand the risk and reward with leveraged products. In todays time, there is plenty of information available for someone to make an informed decision around suitability. They are not for everyone, but for those that understand the risk, they can be a great addition to their portfolio. There does not need to be regulation around self-directed investing.
For many years I have been investing in leveraged and inverse funds for many years. Throughout this time I have never considered such funds to be "the way to easy money". I have been cognizant of the risks involved and have been properly informed by my broker (Fidelity Investments) regarding the special characteristics of leveraged and inverse investing. I have never received
The Liquidity Risk Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Stocks should not be exchanged in unregulated, unmonitored dark pools. Furthermore, dark pool information should be easily accessible and have personally identifiable information tied to it in an effort to track the source of the share.
I would like to get more frequent information on short % and and not delayed information from days past. This is ridiculous that we have to be requesting this when it should be the norm. Thank you for your consideration.
A high net worth individual with brokerage firm classification of some degree of sophistication should not have to fill in extra paperwork to indulge in a speculative investment.
I am not averse to getting information such as that given for options. It's information that should be in the hands of investors, but what is intrusive and unnecessary is regulatory approval.
GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education
(Council) has issued the annual Firm Element Advisory, a guide for
firms to use when developing their continuing
As an investor, it is my responsibility to understand, research and select investments, along with the ultimate risks & rewards. This is the same I would expect of anyone who is investing.
For leveraged funds, it is a critical part of my broad investment strategy, again knowing the full risks, up & down. All fund prospectus's provides clear picture of the
Investors should have the freedom to make informed decisions about their investment choices. There are those who of us who desire to use reasonable leverage without the burden of adopting complex and costly options hedging strategies. Leveraged ETFs accordingly provide significant value to us as ordinary retail investors. It is hard to imagine anyone who does even a modicum of due diligence (even
