Displaying 861 - 870 of 28151 Results
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023,
Terms used in this Rule 6620 Series shall have the same meanings as defined in Rule 6420.
Adopted by SR-FINRA-2008-021 eff. Dec. 15, 2008.Selected Notice: 08-57.
The Anti-Money Laundering, Fraud and Sanctions section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Filing Guidance - Public Offering Review
To Whom It May Concern:
About 5 years ago, I realized that I would need more than my 401(k) funds for retirement. Since then I've added investments in different types of accounts. I've been surprised at roadblocks placed in my way such as forms and required reading simply to enable purchases of inverse ETFs. As an adult putting my money on the line, I will do research to
I strongly oppose any restrictions on the trading of any of the fund types in the notice particularly leveraged and inverse ETFs or ETNs involving indices or volatility. Risks are clearly laid out in the prospectus. Not the governments job to restrict the freedom to invest in these products in order to protect people who cant be bothered to read the prospectus and then get burned by risks clearly
Hi, my name is Jane Liao and I am a Bito investor, I don't understand why "FINRA" issued a notice on March 8, 2022 and try to restrict investors buying a called of "complex products. I have the right to decide which public equities, bonds and funds I want to buy. It will help I achieve long-term financial security. It is an investors right to freely access the entirety of the
Hello. While crafting this new regulatory notice, Im sure the appropriate folks thought they were doing the correct thing. I am not so sure. By limiting what I can and cant buy, this new rule would potentially limit my ability to achieve my long term financial goals. The definition of "complex products" is not well defined. I have spent the time to educate myself and should be able to
I find the proposed FINRA's potential regulations notice 22-08 as it will put undo restrictions on my ability to invest as an individual. The current proposed requirement for a test is not fully defined nor is the process in which it will be administered defined. Who will prepare the study material, who will administer the test, and how long is the certification valid after you pass the
I am strongly opposed to the proposed FINRA Regulatory Notice #22-08, that will limit my ability to buy leveraged and inverse funds. I should be able to choose my public investments without interference from regulators. I am more than capable of understanding the risks involved with leveraged and inverse funds. I do not need regulators looking over my shoulder, or telling me what I can, or