I support complete transparency. Please make all short positions public information to remove barriers that serve the 1%.
SummaryFINRA has amended Rule 13606 of the Code of Arbitration Procedure for Industry Disputes to provide that the Director of FINRA Dispute Resolution Services will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing
On this episode, we dig into a new report from the FINRA Investor Education Foundation, Investors of Color in the United States, that highlights interesting trends related to the pace at which Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors are entering the market, their views on risk, where they're receiving information and more.
Public investments should be available to all of the public, regardless of net worth. If attesting to having read information about an investment is deemed an appropriate balance, I would be supportive of that.
I would be opposed to banning any products. Information is readily available for anyone who seeks it. People have to take responsibility for their own decisions. You can't regulate it.
Please to not restrict the public's ability to invest in a broad array of securities. It is more important that information and risk be disclose than for an individual to be required to pass a "test" in order to invest.
I'm not understanding this notice clearly. But I do right kind of investment as available on US stock exchanges. Please do not confuse me with such restricted information and I oppose such regulations.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
Last summer, we introduced listeners to FINRA’s Crypto Hub, an enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. On this episode, we have three members of the hub join us to provide an update on that work to dig into the results of a recent survey of member firms regarding their crypto asset touch points to tell us about the new spot Bitcoin ETP market and more.
