Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities.
GUIDANCEInvestment Analysis ToolsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementIM-2210-6Investment Analysis ToolsPredictions or ProjectionsExecutive SummaryOn September 28, 2004, the Securities and Exchange Commission (SEC) approved an NASD Interpretative Material (IM) to Rule 2210, designated as IM-2210-6,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to members’ filing requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11).
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
do NOT enact any new laws that would restrict my rights to purchase leveraged and inverse funds and etfs. that should be an investor right. i am a normal informed investor, and i research my investment decisions carefully before i make any investment decisions. you should NOT be trying to restrict my investor rights.
It is absurd that companies would go through all the trouble of creating and publishing prospectus documents and abiding by all regulations only to have regulators deem them unsafe or unsuitable for investors. Please do not limit the my ability to trade. I want to make my own informed decisions and not have them made for me.
The individual investor should be able to choose the public investments that are right for themselves and their family. Public investments should be available to all of the public, not just the privileged. not regulators the regulators should stay out of how the public makes their trading decisions. Perhaps the regulators should look at Members of Congress that trade in insider information
I would like you to leave leveraged ETFs alone. I should be able to choose to have a risky security in my portfolio. At WORST, I would be willing to accept a qualification process based on risk tolerance, but not amount of income or assets, or experience. I,e a poor but educated and informed aggressive investor should not be prohibited.
Thank you
I oppose these proposed regulations because I already have full access to information about the risks of inverse and leveraged funds and further federal gatekeeping is not needed or welcome. Especially in markets that reflect the heavy hand of the Federal Reserve investors ought not be barred from protecting their own financial interests with a full range of investment tools.
From our review of FINRA’s website information on diversity and Regulatory Notice 21-17, it is our opinion that your efforts are commendable and on target to promoting and encouraging diversity in the industry and at FINRA. The programs that you have established e.g. your Internal Racial Justice Task Force, Annual Diversity Summit and the Racial Justice Task Force should help identify barriers to
