Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November and
FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
I object to government regulators deciding what I can and cannot do with my investable funds. I receive a prospectus when I buy products that require them, and the burden is on me to make an informed decision. I do not want to have to take any special courses or pass any tests or explain my reasoning to someone outside my family. I have an investment advisor with whom I can discuss whether
Dear FINRA,
I am an individual investor, and I write in opposition to the proposed regulations which seek to substitute the judgement of federal regulators for that of individual investors seeking to make informed decisions about their own money. Your role is supposed to be to protect investors, not to hurt and control them. Unfortunately, any efforts that upend the existing disclosure-based
you make sure BD are well regulated to provide adequate information to investors. Do you assume they are not doing their job? If it is a current public investment already okayed by you why shouldnt the regular public have the right to buy it? whether it is for leverage or protection. If we end up with only passive investments there will be no market in the true sense of the word and will just
I have been informed that the above referenced regulatory notice is being considered.
I strongly object to the intent of this proposed regulation. I do not believe that FINRA should be able to restrict my ability to chose my investments or to make me go thru a bureaucratic process to establish my right to make those investments. I have been trading these investment vehicles for many years and
I oppose government restriction on freely made choices to invest any fund or investment type a person wants provided the information regarding the risks of those investment vehicles are publicly available and/or provided at the time of purchase. I understand this might result in less sophisticated investors losing money but this is the risk one takes when one chooses to invest. I dont believe the
No one has a problem with investing in Amazon of Nvidia or Facebook at their high points only to watch them lose 25% of their value in a matter of weeks if not days. But yet you want to "protect me" from a leveraged or inverse fund. Best case scenario is you do nothing and let me be responsible for me. At worst is a one time information screen that I agree that I am trading in a
I'm investing in these index funds over 15 years. using the inverse funds to hedge my portfolio. These funds are mkt index funds; and I don't need analyses of individual stocks, to invest in them. These funds are very important part of my investment strategies, and I would like to have the opportunity to continue use them in the future. I'm a well informed investor, in these
Hello:
I am writing to voice my opposition to the proposed rules for investing in leveraged and inverse funds. Its a violation of my rights as an investor and imposes unreasonable burden on my ability to trade in a timely manner. I consider myself well informed and do not need additional regulations to guide my investment choices. Leveraged and inverse products are an important part of my
