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This panel focuses on recent developments in the digital assets space. Join FINRA panelists and industry experts as they explain how these products and related initiatives are evolving and impacting the securities industry.
This being the United States it's still the land of the free. Each adult of sound mind deserves to educate themselves and have access to ALL investment vehicles. Even those investment vehicles that regulators or other individuals with a different risk profile would deem too risky or inappropriate.
Each person must make their own assessment of risk and whether that level of risk is
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction (“OSJ”) and the classification of a location that
I oppose government restrictions to my right to invest in things such as inverse ETFs. They are public investments and should remain fully accessible to the public without government restrictions. I feel totally informed and safe in making this kind of investment decision and have been doing so for some time. So long as risks are spelled out for the investor they are suitable for any private
I believe investors should be able to make their own decisions based on the opportunity to invest in innovative technology. Many investors dont have the millions or billions of dollars to invest in start ups or big private equity deals like all the multi billionaires, VCs andPE firms do and by limiting the average retail investor to only buy proven mutual funds that are a basket of stocks you
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
It is absolutely shocking to me that, having ignored the egregious behavior by so-called advisors towards their clients (specifically because FINRA has NOT insisted they act as sworn fiduciaries), FINRA now wants to tell individual investors making informed decisions on their own what they can and cannot do. These are existing, publicly traded securities (vs things like PRIVATE REITS, SPACS, etc
Dear whom it may concern,
We the people are sick and tired of over zealous politicians that really only care about their own corrupt financial dealings attempting to limit ours "for our protection". We will ask for "protection" if that's what we wish our lawmakers to actually do. People shouldn't have political figures attempting to block them
The stock markets built its foundation on that everyone can participate if they have the funds and will to do so, it is experience that makes the difference for every investors and their decisions. Leveraged and inverse ETFs have an essential role in the stock market and in financial investment strategies that are necessary in order to protect my portfolio or hedge some of my investments.