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This seems like it could easily lead to a situation where the only people who can open a self-directed account to trade in options or complex products are rich, white, financial professionals. The rich get richer.
Restricting the trading of complex products is detrimental to all investors and should not be considered. Stop manipulating the market with new restrictions.
Restricting the trading of complex products is detrimental to all investors and should not be considered. Stop manipulating the market with new restrictions.
Rather than block investors from complex ETFs, another, perhaps preferable, approach would be to require that explanations of complex investments be written clearly, in simple English, and that the consequences of an investment, including risks, in those ETFs be clearly spelled out. That would allow investors who would like to use ETFs as part of their portfolio, and understand the consequences
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2022; and
a summary of how eligible individuals can become
Summary
Effective May 14, 2022, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $5.10 per million dollars in transactions to a new rate of $22.90 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637
Testing the Effectiveness of Financial Education Across 76 Randomized Experiments
This episode originally aired in April 2021.The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the then-head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.