The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
FINRA has initiated a multi-phased effort to overhaul its registration and disclosure programs, including the Central Registration Depository (CRD) -- the central licensing and registration system that FINRA operates for the U.S. securities industry and its regulators, and that provides the backbone of BrokerCheck. In June 2018, we implemented the first phase of the transformation through a new
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
I do not agree with limiting these leveraged investments the prospectuses information fully appraise the risk I have owned them for 10 years and they are the most profitable investments I have had by far so I do not believe that regulating them is necessary
Do not take away my right to invest in leveraged ETFS. if you want to protect investors focus on naked short selling, corrupt analysts that publish bogus information, and large brokerages who manipulate stock prices.
Please do not impose new regulations on my portfolio that includes a manageable percentage of leveraged funds such as SSO. Im very capable of using research to make informed decisions for my investments and I appreciate the freedom to do so!
I should be allowed to invest in what I want to. I am capable of reading prospectuses and am capable of making informed investment decisions. I would vote against such a regulation that would restrict my ability to trade inverse or leveraged funds.
I hear the government is trying to find our how much our investments are. As long as we are paying our taxes, that information should be kept to ourselves. Please reconsider this law. It could affect your families in future generations.
I, but not regulators, should have the choice in how I spend my hard earned money. If regulators are concerned about misinformed choices, they could simply inform the public about the products they are buying instead of restricting their access to the leveraged funds.
Comments: Please do not limit our ability to buy and sell inverse and leveraged ETFs. They are not that complicated and the warning notices that come up before any purchase is quite detailed and informative to anyone who does not understand these products.
