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En EspanolHow long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
An investment adviser is an individual or company who is paid for providing advice about securities to their clients. The term investment adviser refers to an individual or company that is registered as such with either the Securities and Exchange Commission or a state securities regulator.
The following is a checklist to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for FINRA membership, which is initiated through the submission of the New Member Application (or Form NMA), which is reviewed by FINRA’s Membership Application Program (MAP) Group.
Dear FINRA Administrators: I understand that FINRA is considering limits to individual investment choice and I am strongly opposed to any such action. I believe individual choice should remain paramount and what any individual invests in should not be limited by government or administrators who think "they know better." Please remember, if I choose to invest in a leveraged fund - I am
This is not the 1940s Papa, education, and information are very accessible. Connections are made faster and with more abundance than ever before. It is absolutely insane that I even have to write this when I can drive 30 minutes to a casino and gamble every dollar away. The hypocrisy is legendary and once again it's 2022 we can see through all the non-sense. If investments are the way every
I find it reprehensible that you would try to limit my ability to invest as an individual. I use inverse funds and futures to build income on the downside and if you limit my access to those products you will be limiting my ability to continue to build my portfolio and bring in income when the market falls.
I don't understand the desire or need to regulate people's freedom. You
I have been managing my own investments for 35 years. I was trained at the graduate level to do this, but was never employed in the financial services industry.
Leveraged and inverse, open and closed funds, are useful instruments. In appropriate circumstances, I use these instruments. They are especially helpful for generating routine income (in retirement) and setting up hedges.
Not
Hello,
As someone who has used leveraged ETFs quite successfully over many years I absolutely do not support any additional regulations or restrictions on individual investors using leverage, futures, options, or any other manner of "complex" instruments as part of a self-directed investment strategy.
I actively researched and educated myself on these financial instruments
