The Financial Industry Regulatory Authority (FINRA) and the International Foundation of Employee Benefit Plans today launched a partnership to broadly disseminate two online resources to help companies and their older workers protect themselves from early retirement scams.
The FINRA Board of Governors meets this week in Washington, DC. Read President and CEO Robert Cook’s email to firms previewing the agenda.
(a) If an ADF Trading Center exceeds its Certified Peak Transaction Volume in one or more categories on one or more days in a given calendar month, the following excess capacity usage fees will apply:
Level
Percentage Exceeded
1 – 2 days
3 – 5 days
6 – 10 days
>10 days
1
<25%&#
Used inverse ETF SDS for 10 years & plan to leave alone until market crashes & regain losses! My main investment! Obviously I oppose ANY limitation on my investment at this point since holding for the long term to regain $$$$s !!!!!
I question your intent to control my actions with investments.
There are voting restrictions, family planning restrictions AND now some regulator is considering making investment choices FOR ME. Do I know what I am investing in?
GET OUT OF MY PORTFOLIO CHOICES.
After taxes, the balance is MY money. It is MY decision what to do with it and NO ONE ELSEs.
I bear the risk. If you are going to impose rules on our investment choices, then you also need to cover our resultant losses. Are you planning to do that?
I think changing the way things are done now to the way you plan on doing will hurt us small investors more then you realize. Things were gong along smoothly enough up to now and this change will just muddy up things.
I would like to build my own investment strategies even if these are high risk. Unneeded regulation is not helpful. Please focus on clamping down on the rampant fraud in the crypto markets instead of harming honest investors who spend time planning their strategy.
Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission. Members must
Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission. Members must
