I strongly oppose the upcoming regulations on certain types of funds that would exclude the public from access to these investments in their portfolios. Every citizen should be allowed to decide what they choose to invest in, and not be subject to limits based on overall net worth or formal investment education and approval by individual brokers. Now more than ever, investing has become
I strongly oppose the proposed legislation to limit individuals from investing in so called complex securities. I have the right to choose how I spend my time and money and I disagree with efforts to ban me from products I have already purchased after significant research and time. I buy leveraged funds as a way to mitigate my overall risk while pursuing higher returns. Leveraged funds allow me
Dear regulators,
I should be able to choose publicly available investments that are right for me and my family. This filling is an over reach. Ordinary Investors like myself and others are much more sophisticated, informed, educated, and savvy than previous generations. With the the prevalence of Fintech platforms and the Internet financial education has never been easier to obtain, and reliance
Background information about FINRA Contact System (FCS) and related Notices.
My primary concern with this notice is the following statement: "whether the current regulatory framework, which was adopted at a time when the majority of individuals accessed financial products through financial professionals, rather than through self-directed platforms, is appropriately tailored to address current concerns raised by complex products and options." The concern is that
The FINRA North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
The FINRA New York Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and the
FINRA’s Institutional Conference brings together industry experts, executives and policymakers to share their specialized knowledge and experiences on topics affecting institutional firms across the country. This one-day conference is designed to facilitate meaningful dialogue on a range of topics in an educational format that encourages the exchange of ideas and opinions. The conference also offers participants opportunities to interact, share effective practices and learn from representatives from institutional firms, regulators and exhibitors.
(a) The panel will decide when the record is closed. Once the record is closed, no further submissions will be accepted from any party.
(b) In cases in which no hearing is held, the record is presumed to be closed when the Director sends the pleadings to the panel, unless the panel requests, or agrees to accept, additional submissions from any party. If so, the record is presumed to be
(a) The panel will decide when the record is closed. Once the record is closed, no further submissions will be accepted from any party.
(b) In cases in which no hearing is held, the record is presumed to be closed when the Director sends the pleadings to the panel, unless the panel requests, or agrees to accept, additional submissions from any party. If so, the record is presumed to be
