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You plan to prevent or restrict investors from buying a broad range of public securities including the leveraged and inverse funds offered by ProShares. If these regulations are adopted, they could prevent or restrict investors ability to buy the funds. This is ridiculous, my ability to freely invest should not be restricted. I oppose limitations on my ability to buy any kind of Funds. YOU FINRA
I don't think it is right for Regulators to take control of how the public wants to invest in the future of their families, your trying to make the rich get richer once again, middle class people don't have a chance again, when a good thing comes along that's when regulators want to take over, where were you when crypto was just getting started, you didn't believe in it but
(a) Definition of Due-Bills
The term "due-bill" as used in this Rule means an instrument employed for the purpose of evidencing the transfer of title to any security or rights pertaining to any security contracted for or evidencing the obligation of a seller to deliver such to a subsequent purchaser. A due-bill shall not be transferable or assignable by the purchaser.
(b)
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps. On this episode, we hear about some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment.
Sec. 3. The Board may employ or authorize the employment and prescribe the powers and duties of such agents and employees as it deems necessary or advisable. The employment and compensation of such agents and employees shall be at the pleasure of the Board, provided that such determinations are not inconsistent with the requirements of the Delegation Plan. Except as provided in Article IX,
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views.
Me not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am well-educated and fully capable of understanding
Dear FINRA,
I strongly oppose any restrictions to my right to invest, including inverse and leveraged funds.
I'm able to choose public investments that are right for my needs, we need less regulation on choices. America is free and EVERYONE has a right to choose not just privileged few believing their expertise is far superior than the common investor. I am able to understand and