Making sure a person is informed is one thing and you should be checking on that. Making a choice you enter these deals is on the investor and unless it's a scheme of some kind it's our choice where we put our cash.
Hold media companies accountable for false reported information. Especially well known reporting agencies ( motley fool ) as an example & fine them with high fines not small ones
The Neutral Corner—Volume 3, 2019
Mission Statement
FINRA’s Website Has a New Look
Arbitrator Withdrawals Undermine the Arbitration Process (by Steven B. Caruso)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
New Portal Form: Award Information Sheet
Removal of Oath of Arbitrator and Disclosure Checklist PDF from FINRA's Website
Register for the Portal Today
Its extremely hurtful that FINRA regulators are taking away my ability and freedom to invest in complex funds . Most of the middle class whose daily struggle is to save money and take informed help is being taken away by this step
These products are useful to a informed trader. Removing these would be like dictating what people can invest in. What's next, all stocks under 5 dollars or 1 dollar. It is our right to make these choices. Don't take my rights away.
To whom it may concern: Any and all enhancements concerning reporting on market activities is greatly appreciated. Shorter reporting intervals and all inclusive information is crucial to investor success.
At a minimum we should have transparency in the market to see the same information hedge funds and market makers see also to see short positions that effect market prices
(a) Except as otherwise provided in this Rule, each member shall once every calendar year provide in writing (which may be electronic) to each customer the following items of information:
(1) FINRA BrokerCheck Hotline Number;
(2) FINRA Web site address; and
(3) A statement as to the availability to the customer of an investor brochure that includes information
The Arbitrator's Guide provides arbitrators important information and access to the forms necessary to complete their assignments.This guide contains general information about FINRA, tips for contacting staff in the four regional offices by email and important information about an arbitrator's duties and obligations. The Arbitrator's Guide also contains resources to help you learn
The Member Firms' Nexus to Crypto topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
