Displaying 361 - 370 of 1654 Results
Do not proceed with regulations for private investors! Leveraged and inverse funds are pivotal to my investing. I should retain the right to make my own financial decisions without extra steps or approval processes.
The Anti-Money Laundering (AML) section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
No more private dark pools ( aka Citadel Connect ) that are insulated from FIRNA. No more naked shorting. Transparent share pricing within dark pools.
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
A “family office,” as defined in the Advisers Act, may be considered an “investment adviser” for purposes of meeting the limited exception of FINRA Rule 5131.02.
Government bureaucrats have no authority to infringe on the rights of free, private individual citizens to make financial decisions. Congress needs to take action to shut down regulators like FINRA who overstep their bounds.
Regulators have no business telling private citizens what they may or may not invest it. That is Soviet-era behavior. It is also a slippery slope. If one sort of investment can be outlawed, then ANY kind of investment can be outlawed.
Thanks but I do not need your help in deciding what to invest in. I am fully capable of making investment decisions. Restrictions on my right to invest in public securities is a private matter between my wife and I.
SR-FINRA-2009-006 - Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
I only have one issue. If it's 'PUBLIC' stock then I should be able to buy - isn't that what public is? That's all: PUBLIC = PUBLIC // PUBLIC = PRIVATE- make up your mind regulatory - thx for reading.