December 6, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Vice President of Testing and Continuing Education (CE) David Scrams to discuss the CE Transformation including information on the Maintaining Qualifications Program and the transition to an annual Regulatory Element requirement. Senior staff also discuss
I should be able to choose which investments I want to make.
I shouldnt have to take any special tests or ask for approval form a broker.
Public investment should be available for everyone, I should not have to go through any special process or a test in order to invest in public securities
I should be able to choose what I want to invest in without being tested, I do not a regulator telling me what I can and cannot invest in.
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
i agree with the statements that their should not be any regulators taking control and forcing me to take tests. please dont take my rights away
Rulemaking topics discussed include:
private placements,
debt research conflicts of interest,
short interest reporting,
minimum quotation sizes,
consolidated FINRA registration rules, and
replies to responses to motions in arbitration.
I should be able to choose my own investments and not have to go through special testing processes for investing in public securities, including and not limited to Cryptocurrency
The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Hello, I run a quarterly rebalancing plan for my retirement that relies in part on leveraged ETFs. I have been using this system for several years now, but following its evolution for over a decade. The system is run by investor/author Jason Kelly and it's called the 3% Signal: https://jasonkelly.com/books/3sig/
Removing my access to leveraged ETFs because I don't have a $1
