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The FINRA Board of Governors is holding its final meeting of the year, with Board committees giving consideration to multiple issues.
I agree with everything there 100% needs to be more transparency in the stock market. I believe reporting should be done daily so that it will be harder for someone to try and hide or fake their positions since they won't have time. With all the money they make and High Frequency Trading these firms do they have no reason to say reporting daily is too hard or impossible. I also recommend
There was a time where retail investing was uncommon, and markets have become more inclusive. That trend should continue, or at least not move backwards. Regulation should exist where there is information asymmetry and misaligned incentives, such as what CDO crisis that triggered 2008, which was mainly caused by banks not even understanding these assets and rating agencys being captured and
Every body should be able to invest in the securities you propose to legislate. The information about these securities is widely available and well documented. In addition, the average person does not have the insider information that the likes of Nancy Pelosi and Chuck Schumer have in order to make millions off the stock market. As is the case, regulating the average American away from the
The Variable Annuities topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the New York Region as of the close of business on Friday, October 21, 2022, are eligible to vote in these elections.
Ballots are due by Wednesday, November
Beginning September 16, 2019, FINRA will introduce a new Vendor Management System that will allow TRACE Vendors to view their profile and agreement information, maintain their contacts and report their monthly TRACE usage.
All vendors will be required to submit their Vendor and/or Subscriber Usage information via the new Vendor Management System. Starting on October 1, 2019, FINRA will no longer
I am fully capable of assessing risks of inverse and leveraged funds. I've used them for years. I have over 35,000 followers on social media, and I help to educate them regularly.
I believe you could inform the public of risks through "warning label-like" statements such as giving examples of how one can rapidly lose money using a leverage fund while the market is
I am bumping up against this issue on IBKR. When I invest, I like to be able to choose what I do - regardless of risk. I don't mind if the Brokerage wants to supply me with information, but I do not wish to be controlled. My financials are not controlled in other areas of my life and I can easily lose large amounts of money in many different ways. I am an adult; inform me, keeping
We need more transparency in the market! No more dark pools. accurate information for everyone including three retail investor. We also need sailors to delivers to happen sooner. We need to crack down on synthetic shorts and unreported information (make the fines bigger) it’s like fraud!