The Top 1% is like a private club, and this "club" continues to find new ways to shut out the "little guy" because you don't want us getting in the way of you gobbling up all the wealth. Public investments should be available to everyone, not just the privileged. So when you start paying your share of taxes, then we can talk -- but until then, SHAME ON YOU!!
I strongly oppose any regulation limiting my choice in public or private investments. There should be no 'test' to invest in public securities, like leveraged and inverse funds. I am capable of making my own financial decisions, and reject additional government interference regarding my finances. I implore you to not impose additional measures prohibiting my decision to invest
Summary
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also encouraged to review its BCP to consider
ATS NAMEATS IDFIRM NAME6732 ExemptionBGC FINANCIAL, L.P.BGCXBGC FINANCIAL, L.P. BONDSPROBNDSBONDS.COM, INC. BROKERTEC AMERICAS LLCIEBCBROKERTEC AMERICAS LLC BROKERTEC AMERICAS LLCIEBDBROKERTEC AMERICAS LLC CBOE FIXED INCOME MARKETS, LLCCFIMCBOE FIXED INCOME MARKETS, LLC CLARITY BIDRATE ALTERNATIVE TRADING SYSTEMCLRTARBOR RESEARCH & TRADING, LLC ClearList LLCCLERClearList LLC
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that Susan Merrill, who has headed Enforcement at FINRA and one of its predecessor organizations for more than five years, is stepping down to return to private practice.
NEW YORK and WASHINGTON, June 14, 2010 - NYSE Euronext (NYSE: NYX) and the Financial Industry Regulatory Authority (FINRA) today announced that they have completed the previously announced agreement under which FINRA will assume responsibility for performing the market surveillance and enforcement functions currently conducted by NYSE Regulation. The agreement is effective immediately.
On behalf of myself and private investors, the fact that a governing body would consider restricting investment choices to and from certain individuals is absurd and wholly un American. It is nobodys place but the investor themselves to determine what they put their money into and how they choose to invest. I, along with, I'm certain many other Americans firmly believe that it is not your
As an experienced non-accredited investor, I am totally opposed to limiting my investment options. Some of my best investments this year are on the list: commodity funds, managed futures funds, private REITs, etc. While stocks and bonds have performed very poorly in 2022, these investments have hedged some of my portfolios and actually perform well in an inflationary environment. Please do not
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced charges against six brokers formerly associated with Brookstreet Securities Corporation, a now-defunct nationwide brokerage firm based in Irvine, CA, including fraud and making unsuitable recommendations to retail customers.