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FINRAs scheme is misguided because it: Hurts Investors: It could potentially deny us the freedom to choose investments that could help us achieve long-term financial security. Is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. Tests or Upends Our Regulatory System: Under the
I oppose any regulations that affect my choices on which funds I can buy. I am a responsible adult and make financial decisions for me and my family. Funds should be available for anyone to buy, not just the wealthy or privileged. I should not have to go through special processes or jump through hoops in order to buy funds that support my financial plan. I am capable of understanding leveraged
As an investor for over 50 years, I am strongly opposed to this proposed action. Leveraged and inverse funds are essential to my investment strategy. The market does not always go up. Private investors need access to affordable hedge tools in order to protect and insure the wealth they have accumulated. The ultra rich do it. Why would you restrict my access to this important strategy. I do not
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Executive Summary
The Securities and Exchange Commission (SEC) has approved changes to Rule 17a-5. This rule authorizes the designated examining authority (DEA) to grant or deny requests from broker/dealers for extensions of time to file their FOCUS and audited annual financial reports. Also, these
Summary
FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110). Members may wish to consider
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Executive Summary
On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments to the NASD® Conduct Rules (Conduct Rules) giving NASD Regulation, Inc. (NASD RegulationSM) expanded sales-practice authority over exempted securities. This Notice
When it feels like so many things are out of our control, sometimes the best thing to do is focus on the things that are. Here are five questions to ask for some financial peace of mind in the age of coronavirus.
I choose investments based on my own research and situation. With a BS in Engineering and a MS in Science and Technology Management, I believe I am perfectly capable of making my own investment decisions without FINRA's help or interference. Arbitrary restrictions by FINRA is offensive to me - it's like you are trying to only let "well off - rich investors" buy
In accordance with its regulatory responsibilities pursuant to Regulation NMS, FINRA is issuing a pre-quotation notice1 to advise that it plans to certify a new participant to begin using FINRA’s Alternative Display Facility (ADF) for quotation and trading of CTA and UTP listed securities on or after Monday, March 27, 2023, subject to regulatory approval and related announcements.
Once certified
Dear FINRA Regulators,
I was upset to learn today that FINRA was looking to restrict retail investor's access to 'complex products' including leveraged products. As a young investor, I rely heavily on leveraged etfs as part of my long term investing strategy. Given my current investable assets are low and will hopefully continue to grow as I work and grow older, I use