I do not support these changes. I should not need approval from my bank to make an investment. These rules are ridiculous! I consult with a financial advisor from a well known institution. These investment tools are risky, but I feel they are unique and productive. They are made up of reputable companies. Regulators should be more concerned about crypto. A real pyramid system.
Regulators need to limit their over reach. As I take no support from the government in terms of financial support. I should be left alone to invest when and how I so chose. Only those under governmental subsidies should be regulated and under any investment oversight. My gains should not be of concern nor should my loses.
I am very much against restrictions proposed in this regulatory notice. While the risk of financial loss when investing in these products is high, so is the opportunity for significant profits. Government should not control how I invest my money or make me run through multiple hoops to invest. Please do not implement the proposed rules.
October 2002
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
Financial regulators should be in the business of protecting investors from fraud or general education. Limiting investment options including those with diversification value should not occur. Forcing training or exclusionary measures also should not occur; investments are individual choice. Recommendation: Create the best investor education website and people will come to learn on their own.
The FINRA South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South 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 Midwest Region Networking Seminar is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.
Hello, LETF leveled the playing field and I can manage my own investment. I understand the risks and do not need FINRA to protect me from complex instruments. Whoever is supporting more regulations are people who have financial motive to "educate" and "help" retail investors for a fee of course.
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
I'm a financial professional fully licensed with a Series 7 and 24. I utilize leveraged funds not only in my retirement account but also in my retail account. I utilize leveraged inverse bond funds, biotech funds and QQQ etfs. There should be no limit on these funds, with the exception of 300+ % leveraged funds. That's when risk becomes unmanageable in my opinion.
