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FINRA's new rules for evolving work models — hybrid and remote —provide member firms greater flexibility for their registered persons to work from home. Our new Residential Supervisory Location (RSL) Rule and Remote Inspections Pilot Program Rule are intended to provide member firms greater flexibility — not less — to allow eligible registered persons to work from home, following the expiration of temporary COVID-19 relief from existing requirements.
Reference FINRA notice to restrict trading opportunities. This is NOT Russia or China, this is the United States of America! Restricting investments that have been in the public for 10 years with no major problems is more than an overreach. It is uncalled for. Investors have already qualified for the ability to make our own decisions. Investors do not need more restrictions, we need more
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org; and OTCTransparency.FINRA.org websites on Saturday, April 10, 2021, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
Summary
In this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)). In Regulatory Notice 10-22 (Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings), FINRA reminded members of
I fully oppose restricting freedom to invest and creating obstacles for retail investors to interact with "complex products". If the intention is to protect people's finance, instead of taking the lazy path of restriction, a better way would be to educate. Majority of retail investors understand the risk they are taking by entering the markets, and creating a silo for the "
I should be able to choose investments and the risk i am willing to accept. Leveraged and inverse funds are an important element of my investment strategy. These investments should be available to all the public and not just the privileged. Please do not restrict the opportunity to invest in leveraged funds. There is already a notice of the risk and it is well communicated to investors. Please do
Investors should be allowed to invest how and when they would like. We all know there are risks in any investment, and as long as there are rules that are enforced to make it an even playground, the SEC should not be the "parent" telling adults how to invest their funds.
Maybe not allow Politicians who have insider knowledge invest in stocks that they can manipulate with notices
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, November 7, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
FINRA Requests Comment on a New Academic TRACE Data Product