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Within the following videos, several members of FINRA’s advisory and regional committees, the National Adjudicatory Council (NAC) and the FINRA Board of Governors share their experiences serving on FINRA committees—including an overview of FINRA committee engagement, the benefits of participation and recommendations for how to get involved.What Are FINRA Committees?Members of FINRA’s various
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.
A formal notice of the NAC election and ballot
I strongly oppose your these unnecessary regulations on inverse and leveraged etf's. Today's investors are very well informed of these and similar investment vehicles and we do not need your meddling in our choices!
You should be looking into ways to better regulate news driven, high speed algorithmic trading where computers key in on pre programed key phrases and can spike or
Dear FINRA,
I am writing today to express my disappointment that you are considering regulations limiting my publicly available investment options. Only through a wide and diverse array of investment options can a diverse and balanced portfolio be maintained. As an investor in the market today, just as in 2008-2009, maintaining a hedge against extreme volatility is an important and needed aspect
FINRA Regulators:
While I understand the concern of heightened risk posed by leveraged securities, I am alarmed at the proposed measures restricting investment into these publicly traded leveraged securities, especially requirements related to net worth, because these types of investments allow the type of returns necessary for lower net worth individuals to attain financial success, and
I am a retail investor with approximately $1M in investments, spread over several accounts. I routinely trade leveraged and inverse ETFs as a small portion of my overall investment as part of my overall risk management strategy. Though these ETFs are a small percentage of my total assets, they sometimes form a larger percentage of an individual account, as I concentrate all these trades in a
Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website
It is unfortunate that the system must be an "US vs THEM" system, especially when they don't have to play by the same rules that we, the little guy, the 99%, the "dumb money", the "retail investor, has to follow. Things I would like to see changed: -- There needs to be more transparency. We need to be able to see the shorts. We need to see the FTDs. Short positions
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
FINRA announced today that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for mutual fund-related suitability violations. These suitability violations relate to an array of mutual fund transactions including mutual fund switches. Additionally, the firm failed to provide applicable breakpoint discounts to certain customers. Barclays was also censured and fined $3.75 million.