Hey you [REDACTED] - its my money that is hard earned and I have paid all taxes on it, now you better stop telling me what [REDACTED] I can or cannot do with it. [REDACTED] You [REDACTED] need to stay [REDACTED] out of my private financial business. I own tons of ETFs and they are all showing losses so Im holding on to them - if you want to change anything, make sure that you [REDACTED] first
To whom it may concern I am writing to request that I be able on my own behalf have the ability to buy and sell shares on my own , I have a great concept on how to do this and want the ability to retain the options on my own behalf to do so , I believe you should not interfere in private investors ability to do so , this is not good for interference from the government to do so. Thanks for you
I am a small private investor with a great deal of experience however I might not measure up to your new strict standards.That concerns me as I use these investments as short term hedging vehicles. I shouldn't have to go through a special process to qualify, what brokerages have in place now is very adequate. Your proposed new rules would make these products the exclusive trading grounds of
I should be the one, not regulators, to choose public investments that at correct for my portfolio. No special process should not be required, and certainly not test performed to determine my ability to invest in public securities. Leveraged and inverse funds are very important to my investment strategies in hedging, enhanced returns, and as a limited part of my portfolio. I dont need someone
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
FINRA has provided transparency to over-the-counter equities (OTCE) trading for years through its public website.
September 17, 2019
9 a.m. - 1 p.m.
Delta Hotels by Marriott Baltimore Inner Harbor
1 E Redwood St.
Baltimore, MD 21202
(410) 234-8950
Topics
Outside Business Activities and Private Securities Transactions
Social Media and Digital Communications Compliance
Register - $195
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.Advertising Regulation Electronic Files (AREF)Annual ReportsBlue SheetsCustomer Margin Balance ReportingDerivatives and Other Off-Balance Sheet Items Schedule (OBS)Distribution ManagereFOCUSFINRA Contact SystemFINRA Firm Clearing Arrangements FilingFINRA Rule
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced its first enforcement action involving the sales of reverse convertible notes (RCNs)
Summary
FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions.
The proposed rule text marked to show changes from the current rule text is available