Board Approves Two Rulemaking Items, Meets With External Stakeholders
WASHINGTON – FINRA’s Board of Governors met virtually on September 9 and 10. During the meeting, the Board approved two rulemaking items, and received updates on FINRA’s operations, including the Examination and Risk Monitoring Program Transformation and the Market Regulation Enforcement program.
In addition, the FINRA Board
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.
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.
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and those without any
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
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.
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@finra.eu” and “@finrarec.com”. Samples of both emails are provided in Appendices 1 and 2.
The domains of “finra.eu” and “finrarec.com” are not connected to FINRA, and member firms or their customers may receive similar phishing
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.
Upcoming District Committee and District Nominating Committee Elections
