In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
I strongly oppose FINRA Regulatory Notice #22-08 I am fully capable of deciding what investments are right for me. I do not need the government to impose more regulations and take away my RIGHT to invest as I see fit.
Leveraged funds are an integral part of my investment plan, especially in a down market as we have had recently. I urge you to not pass these new requirements. We need LESS, not
I believe that I - and not regulators with potential agendas should have the right to choose the public investments right for me -- and these shouldn't be restricted to just the privileged. I shouldn't need to go through any special process or testing before I can invest in public securities (such as leveraged and inverse funds) since I'm quite capable of understanding the risks
Year 2000 Countdown
As 1999 winds down, Year 2000 issues will receive increased focus as public attention to these issues increase and companies in virtually every industry accelerate efforts to meet Year 2000 compliance deadlines. During this critical period, the securities industry will heighten its focus on regulatory compliance, investor communication, Year 2000 testing, and contingency
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
To prepare for a life of moves, you need to know what to expect both before and after a move.
Staff Relocations
Over the next several months, some NASD Regulation, Inc. (NASD RegulationSM) and National Association of Securities Dealers, Inc. (NASD®) staff will be moving from Washington, D.C. to a new location in Rockville, Maryland. The move will be conducted in a staggered fashion beginning early July, with completion expected in the fall of this year. This relocation plan affects over
Dear Regulators,
To an ordinary investor like myself, one of the biggest advantages in investing this market is the freedom to invest whatever I see as opportunities, and versatility of products I can choose from to realize my investment strategy despite my budget and net worth. I personally believe restrictions you are planning to enforce on ordinary investors will greatly damage this freedom,
I vehemently oppose restrictions on how I choose to invest my money in public investment of any kind. I am not a child and it's not your role to treat me like one. I shouldn't have to prove anything to anybody regarding the funds I desire to invest in. I know how to plan my investments. Whether they produce the results I desire is NOT your problem. It is mine. I'm
I believe that restricting access to these investments what hurt far more people than just allowing the risk to be there. I believe the majority of investors understand that funds that offer higher returns come with higher risk. It is already made clear in the prospectuses of every fund. Please let us make our own decisions. Many of us have been in these funds for years and they are an important
