The FINRA rule is nothing more than an scheme to steal wealth, power, and autonomy from individuals. People have the intelligence and information necessary to make their own investments without regulatory tyranny. Stop it.
The only people that these restrictions would benefit would be wealthy individuals with inside information. The Pelosi's have enough money. Stop stacking the system against people like me. Oh, by the way ... I vote.
I am a user of the referenced types of funds. I think strong and simple warnings (perhaps enhanced, with some check-off from a user), at most, are adequate to support informed and free choices, and handle the concerns here.
I oppose this rule. This is just another way to protect Wall Street and suppress retail investors. Retail investors have more than enough FREE information and support to understand any investment strategy.
Background
Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.
FINRA has
The following frequently asked questions provide information about the Central Registration Depository (CRD).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Overview
This publication outlines emerging insider threat risks and helps member firms identify, prevent, detect, and respond to these threats, including:
identifying how insider threats can occur at firms, and what factors may indicate that these attacks are on the rise;
providing a summary of core controls and effective practices firms may consider when evaluating their insider threat
Washington, DC - The Financial Industry Regulatory Authority (FINRA) has won approval from the Securities and Exchange Commission (SEC) for a major expansion of its BrokerCheck service
SR-FINRA-2008-062 - Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
