Request more transparency. Retail investors should have visibility on all exchanges and they should be immediate. Current technology makes this possible. T+2 system is a relic of an antiquated system. The current system architecture puts all the advantage to large firms that have access to information that is either restricted or delayed to the retail investor. This obviously creates an un-level
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
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NASD Regulation, Inc. (NASD
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
On Wednesday, January 27, 2021, starting at 2:40 p.m. ET, the FINRA/NYSE TRF experienced a technical issue resulting in delays when submitting trade information to DTCC and FINRA. Trade reports to the Consolidated Tape were not impacted, and all trades were submitted to clearing by 8:30 p.m. ET on January 27, 2021.
FINRA is working with the NYSE TRF to receive any trades that were
Both I and my husband are individual investors and what we invest in and how much we invest is up to us as long as we are personally responsible for our own investments. To put the proposed regulations upon us is a great misplaced idea and an unacceptable proposal. I do not need to be told what to invest in or take a test to determine my investment knowledge because as an individual investor I
It is important that the pending increased regulation of "complex products" is not passed or put into place by FINRA.
Products deemed as such as used by investors such as myself after careful study, constitute a very small portion of my or my family office's net worth/liquidity, but present a vital tool in risk managment and/or achieving more beta in certain investing
I am writing to oppose any further regulation on leveraged and inverse investment products. Individual investors like myself have access to prospectus documents, we can read how the product operates, and we know that all investments in the stock and bond markets come with risks. Who is clamoring for this regulation, besides regulators? You might prevent 1% of investors from making a mistake, but
I want to have freedom to choose my investments, there is disclosure of risk already before any "risky" asset can be purchased.
I do NOT support further requirements to trade these securities, I should be the one making decisions about risk I am willing to take.
Leveraged and inverse funds play significant role in my trading strategy and investment strategy and can not be
These rules seem to place an undue burden on me as an individual investor. I dont believe I should have to pass additional hurdles above and beyond what any other individual has to do. This country is founded on equal opportunity. That includes opportunity for success and failure. Anyone without the knowledge to invest in certain instruments would do so at their own peril. The existing
I do not need a regulator to tell me what I can invest in or not, unless there is clear evidence that there is insufficient market competition, market failure or market inefficiency. I use a portion of leveraged funds to either hedge my overall portfolio, or to enhance my returns, depending on where the market stands at a given time. As an almost-fulltime personal investor, I am well-versed in
