This session provides an overview of new developments and trends in enforcement, including enforcement priorities. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices.
Every day at FINRA, we protect investors from misconduct, stop fraud and provide restitution to harmed customers. And we are successful—in part because customers and other members of the public provide information and crucial evidence during the course of an investigation.
With the consolidation of NASD and NYSE Member Regulation, the Financial Industry Regulatory Authority (FINRA) became the largest non-governmental regulator for all securities firms doing business in the United States.
Dear FINRA,
I object to this rule that public investments should be restricted to a small number of privileged individuals. Making the public pass tests in order to invest in public funds is elitist and opposes our nations tradition of individual improvement through investing. As a woman, it is critical to me that I have access to all types of public investment because these types of rules are
I oppose restrictions on the right to invest in public investments. Please let me choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged few. I understand the risks and complete loss of principal of these investments. I shouldn't have to go through any special process like passing a test before I
Regarding FINRA Regulatory Notice #22-08
I am an investor that values the United States investment opportunities provided by Both un-leveraged and leveraged funds. I understand the risks involved and swings in volatility. Yes, the market rises and falls. Yes, volatility is ever present. It is exactly those swings in price and the ensuing volatility that allows investors to profit from their
Hi FINRA,
How are you?
I believe in democratizing investing and having the freedom to choose any one or more of several asset classes of investments that I want because I believe in individual freedom of choice of investments since that is true democracy and capitalism.
We do not need central planning by the government because this is not Russia or China. This is the United States of America.
I
Re: Investing in leveraged and inverse funds I am submitting this because not only do I have the right to share my views, but the regulators are required to take my comments into consideration in deciding whether to move forward. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not
I and investors like me, not regulators, should be able to choose public investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
Using ETF and inverse ETF securities, along with other strategies, allowed me to avoid the 35-40% decrease in portfolio value experienced by almost all 4000 mutual funds and like
Hello! Im writing to you regarding your decision to regulate leveraged etfs. And possibly other investment options. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. It seems the government allows rules for the rich. that are different from the rest of us. I