It is unfair to take away these investment products from retail investors and traders while the institutions enjoy the access to plethora of information and sophisticated tools and algorithms to profit from the market.
As an informed investor --I would be limited in my options if my ability to invest in proshares inverse / leveraged funds -- pls leave them as is -- we know what we are doing
The proposed rule presupposes that most people are Incapable of making informed decisions about their investing. It is tantamount to prior restraint on the right of individuals to determine for themselves what companies they will invest in.
Investors don't need unnecessary interference by big brother regulators in our investment choices. Requiring that clear information be provided is fine, but don't expect adults to go through testing or other restrictions.
FINRA has amended its Code of Arbitration Procedure for Customer Disputes (Customer Code) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under Rule 12800.
The Fund Analyzer offers information on over 30,000 mutual funds, Exchange Traded Funds (ETFs), and Exchange Traded Notes (ETNs).
Nominees for the District Committees and District Nominating Committees
FINRA’s Board of Governors met on September 13-14 in Philadelphia. In addition to continuing discussions around FINRA’s Regulatory Operations, the Board reaffirmed FINRA’s Financial Guiding Principles.
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
