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It's important for these markets to be driven by real people. As lay investors, we have a right to form our own informed opinion of risk and benefit when investing; we don't need regulators to stop us just because they think a product is too risky.
I should be able to choose my publicly offered investments or pay an advisor to do so on my behalf without a bunch of unnecessary regulations and requirements. Im sure if the usual basic information regarding investment pros/cons and risks would suffice in making financial decisions.
I support transparency and disclosure of information regarding various investments. However, I believe in an investor's right to choose and do not want to see restrictions on my ability to use leveraged and inverse funds. They can have legitimate uses in, for example, hedging against certain market events.
I am opposed to changes in my ability to invest in inverse or leveraged securities, because it is an important part of my investment work. I am very well informed about all of this, and these proposed changes would cost me a lot of money. I will take you to court if necessary.
FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351]. Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported or filed in
I should be my responsibility to select the type of product I am interested to buy and to accept responsibility for the choice. Many individual stocks are even more risky. Do not take another freedom of choice. Make sure relevant information is provided and available but leave the decision up to the individuals.
Board Approves Rulemaking Item and Use of 2020 Fine Monies; Moves Forward With Advanced Analytics Strategic Initiative
WASHINGTON – FINRA’s Board of Governors met on March 3 and 4 for the first time in 2021. During the meeting, the Board approved one rulemaking item and discussed a variety of topics, including the evolution of FINRA's Member Supervision Department, which recently published
We need more transparency in the stock market. The market’s volatility doesnt match with the data we have at the end of the day we get information later than others and that is not true capitalism.