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FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
I would truly resent my rights to trade using any vehicle I choose that is legal and can be traded by others, professional or retail. It is my responsibility to understand the risks of whatever I trade and do not need a big brother looking after me. If I loose $$ because I do not understand something, that is part of my tuition of education. I am a grown up and responsible for myself. Please, no
I am strongly opposed to limiting the ability of investors to buy leveraged index funds. I and my children have found long term investment in TQQQ and UPRO to have increased our retirement savings and college tuition savings considerably, thereby eliminating our need to go into debt.
Limiting these opportunities to only high net worth investors only furthers wealth inequality - helping the rich
As is often the case in government policy, the motivations of this seem good. However, limiting investments until someone has a liquid net worth of 1M or other limit has proven suboptimal. These specialized products are risk management tools - perhaps used to hedge a portfolio without selling and realizing gains, or taking advantage of markets that would otherwise be unavailable without a large
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Our fourth Small Firm Report took place on Wednesday, February 20. FINRA President and Chief Executive Officer Robert Cook, was joined by Senior Vice President of Member Relations and Education Chip Jones and Executive Vice President of Enforcement Susan Schroeder to discuss FINRA’s 529 Plan Share Class Initiative.
WASHINGTON – FINRA’s Board of Governors met on May 6 and 7 in New York City. During the meeting, the Board received updates on FINRA’s regulatory operations, including a status report on FINRA’s 529 plan self-reporting initiative and draft guidance around when Enforcement would grant firms credit for extraordinary cooperation during the enforcement process. That guidance will be published in a
(a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably designed to enable the member to meet its existing obligations to customers. In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-
Continuing Education Planning
Continuing Education
Planning