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During its May 8-9 meeting, the FINRA Board of Governors approved FINRA’s 2023 Annual Financial Report and appointed new members to FINRA’s Advisory Committees.
Executive Summary
The Central Registration Depository (CRDSM) Redesign will require several action items from members. A Membership On Your Side will be mailed to the CRD contact in each member firm in the next couple of weeks that contains several items on which members must take action, CRD system pricing information, a list of service bureaus, and a Site Preparation Guide.
Questions
Options and other potentially complex investments represent one of the only ways that those without means may change their lives. Blocking everyday people from such channels is tantamount to constraining them to lives of poverty and lack. Why should only well-off people, often those who were merely lucky enough to 'win the birth lottery', be allowed to better their lives? Why should
Confirmations or comparisons shall include, in addition to an adequate description of the security (which shall include payment options on a unit investment trust series), the price at which the transaction was made and any other information deemed necessary to ensure that the buyer and seller agree as to details of the transaction. Such "other information" should include, if
I'm retired State Service living on Social Security with little long term security! I've been a investor in Celsius since 2019 and as of April 15th informed that I can no longer receive interest benefits when investing in the future because I'm not financially influent! But I can go to Vegas at
Anytime! Eliminate this barrier!
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:Monday, December 25, 2023 ClosedMonday, January 1, 2024 ClosedAffected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade
I regularly enjoy being able to trade in leveraged funds as a limited part of my investment strategies. I am able to afford risks associated with such trading and find the existing information and warnings supplied by Fidelity Investments more than sufficient to keep me aware of such risks. Please do not further restrict my use of such funds.
I have invested in leveraged funds for the past several years. I have lost money and I have made money. Same is true in the broader stock market.
My ability to invest in securities should not be regulated. The focus should be on regulating the providers of these funds to make sure they disclose all the information required for me to make sound decisions.
It is wrong to restrict access to certain investments to only connected, "wealthy" or otherwise selected investors. All market participants are provided investment prospectuses that detail the risks of each fund. It is up to each individual to decide for themselves if the fund aligns with their risk tolerance and objectives, and then research the market to make an informed
It's important for every citizen to have the right to purchase whatever stock we want. We need to retain the freedom to do this. Why take away our freedom. I don't need to take a test to be able to make informed decisions on stock purchases and I don't need anyone else making my decisions for me.