FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
I disagree with strong government oversize. I believe anyone that chooses to invest does so at their own risk and as such is responsible to procure the information or education necessary to do so. I believe government regulations of individual choice is wrong.
Im an investor who is quite capable of making my own investment decisions. If you wish to regulate investments try imposing restrictions on politicians who game the system and get rich with inside information!
The proposed changes are very restrictive. Individuals should be able to decide about public investments. I often use leveraged and inverse funds to reduce the risk of existing investments. There is plenty of information available on their risk/return profiles.
How about instead of trying to regulate the free market you start preventing congress from trading on inside information aka nancy pelosi. Leave my leveraged etfs alone you communists
As an informed investor, let me have the freedom to continue on to invest in leveraged and inverse products. Yes, investment is not without risk, but why should certain firms have more access than an individual investor?
FINRA Rule 4111 establishes an annual process by which FINRA designates as “Restricted Firms” member firms that present a high degree of risk to the investing public, based on numeric thresholds of firm-level and individual-level disclosure events.
Ver en españolOmbuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”FINRA’s Office of the Ombuds is an independent, neutral, confidential, and informal resource for anyone with questions or concerns about FINRA, which regulates the U.S.
(a) To compensate for minor variations in annual net income, the Board of Governors of FINRA may increase or decrease the total charges in this Schedule by 10% from the base charges as adopted on July 24, 2002 upon filing such change with the SEC pursuant to Section 19(b)(3) of the Exchange Act.
(b) To facilitate the development of new information services and uses under appropriate terms and
These financial insteuments are vitally important for an informed and sophisticated investor to use for the retail investor. Perhaps vetting new investors is a better option. For any investor with years of experience, these leveraged instruments are vital and must be kept.
