Hurts Investors: It could potentially deny you the freedom to choose investments that could
help you 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
criteria to determine investor understanding are subjective and could lead to
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
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:Identify and assess cybersecurity threats;Protect assets from cyber intrusions;Detect when their systems and assets have been compromised;Plan for the response when a compromise occurs; andImplement a plan to recover lost, stolen or
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
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
University of Pennsylvania Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S.
Olivia Mitchell
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today awarded Dr. Olivia S. Mitchell the 2019 Ketchum Prize—its highest honor—for her extraordinary research on pensions and retirement income and her
On Thursday, March 18th, FINRA will conduct the first of its planned updates related to OATS retirement. During the call, FINRA staff will provide an update to the industry related to the OATS retirement efforts, including an overview of the related rule filing, status on the required accuracy and reliability standards that must be met before OATS can be retired, and a look ahead at next steps
Board Approves Rule Proposals, Reaffirms Financial Guiding Principles
WASHINGTON – FINRA’s Board of Governors met on Dec. 4-5 at FINRA’s offices in New York, where it approved two rule proposals, received several operational updates and reaffirmed FINRA’s Financial Guiding Principles.
As is customary for the last meeting of the year, the Board spent a significant portion of the meeting
