401(k) and Other Employer-Sponsored PlansEmployer-sponsored retirement plans are just that: retirement plans offered by an employer to help its employees save for retirement. Plans are named for the section of the tax code where they’re described. Most are salary-deferral plans, meaning a plan in which the employee designates a portion of their salary to be deducted and put into the retirement
It is one thing to protect the retirement assets of individuals from extremely risky or highly speculative investments but complete overreach to attempt to restrict investments in taxable accounts. You would be better focused attempting to level the playing field in our flawed public markets. Why have so many companies gone private? Why is the Fed allowed to so manipulate markets for so long
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
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend: (1) Section 8.2 (Position Limits and Large Trader Reporting) of the Security Futures Risk Disclosure Statement (“2018 Statement” or “Statement”) to reflect the higher position limits for security futures contracts and changes to the
Who are you to make such regulations? It is none of your business how I invest MY MONEY. You were not elected by me, the people. I probably understand inverse/leveraged investment products better than you. Our country and economy would be much better off if you resigned your government (aka. Unproductive) job, returned your salary to hard working tax payers and secure a job in the private sector
Limiting investors in any manner from public market participation - whether in leveraged or inverse funds - is a terrible concept which runs counter to maintaining liquid, free and open capital markets. Brokerage firms and RIAs already are adept at advising clients as to the suitability of investments, and investors should not be precluded from participating in such public market investments
Dear FINRA Regulators
In a period of history when Federal regulators threaten everything in the Bill of Rights, You now plan to restrict one of the few ways left to counter the massive inflation Congressional overspending has caused. Give private investors credit for having more financial literacy than most members of Congress and the white house. If you think the Overreach of Federal authority
Overview
The financial services industry heavily relies on cryptography to safeguard digital information. Whether to securely store customers’ personally identifiable information (PII), access the internet through a virtual private network (VPN) or ensure the integrity of a trade order placed on a mobile application, cryptographic algorithms play a central role in many critical functions within
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
Please, please do NOT impose the proposed new FINRA regulations. As an active investor I am practically regulated out of the marketplace, and am still suffering the damage caused by the Dodd-Frank Act. The last thing we private citizens need is more government interference in our lives, which invariable harms rather than helps. The amount of trouble and stress for regular people like me that