WASHINGTON, D.C.— The harmful consequences of Americans’ prolonged social isolation due to the coronavirus pandemic may be even greater for lonely older adults with low cognition. These individuals are at high risk for poor financial and healthcare decision making, according to new research from the FINRA Investor Education Foundation, the Indiana University School of Medicine and the Rush
You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Explain that you are capable of understanding leveraged and inverse funds and their risks. Tell regulators you do not need these measures imposed on you. Myself, Not people that impose and regulate should have the right to choose what to
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
I am disagreeing with the concern and motion put forward to regulate ETF products with leverage and inverse properties. As an investor, I am capable of making an informed decision in regards to the risk I am willing to take on with my investments and therefore do not agree with the proposal to restrict these financial products to those with FINRA authorization or special knowledge. If there is an
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
I am a private investor, I should be able to choose the public investments that are right for me and family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I have taken several investment courses; I am
WASHNGTON — A Financial Industry Regulatory Authority (FINRA) hearing officer has expelled Pinnacle Partners Financial, Corp., a broker-dealer based in San Antonio, TX, and barred its President, Brian Alfaro, for fraudulent sales of oil and gas private placements and unregistered securities.
FINRA is soliciting comment on a concept proposal to establish liquidity risk management requirements. The concept proposal describes a potential rule, labeled Rule 4610, that is intended to ensure that members have sufficient liquid assets to meet their funding needs in both normal and stressed conditions. Broadly, the proposal outlines three areas where a potential rule might address liquidity risk, including liquidity stress testing, contingent funding plans and a requirement to maintain sufficient liquidity on a current basis at all times. FINRA is issuing this concept proposal so that any feedback received can be taken into account as FINRA considers a proposed rule; any proposed rule would need to be reviewed and approved by the FINRA Board of Governors, and then filed with and approved by the Securities and Exchange Commission. FINRA welcomes comment on all aspects of the concept proposal, including comment on alternatives to the proposed approach.
Investors not regulators – should be able to choose the public investments that are right for you and your family.
Public investments should be available to all of the public,not just the privileged.
You shouldn't have to go through any special process like passing a test before you can invest in public securities. We are aware of our own risks and it continues to baffle me and others
I don't understand the rationale behind limiting what private party investors can invest in. if its my money and i signed that i read and understand the risks, why are you or anyone going to tell me i cant? this mentality flies in harmony with the idiotic thinking that congress votes Obama care for EVERYONE except themselves... or the vaccine is a mandate for everyone except them. we are way