This is a reminder that the FINRA test region (NTF) is now available for access to TRAQS using FINRA’s new Multi Factor Authorization (MFA) entitlement method. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure.
Beginning in January 2021, FINRA
Executive Summary
FINRA has adopted new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them.1 The new rules:
allow a Hearing Officer to impose conditions or restrictions on the activities of a Respondent member firm or Respondent associated person, and require the member firm employing a Respondent associated person to adopt heightened
Sec. 2. (a) The Board shall have authority, upon notice and opportunity for a hearing, to cancel or suspend the membership of any member or suspend the association of any person associated with a member for failure to file, or to submit on request, any report, document, or other information required to be filed with or requested by the Corporation pursuant to these By-Laws or the Rules of the
Jeffrey Kalinowski is Senior Vice President, Enterprise & Financial Solutions. In this capacity, he is responsible for the direction and oversight of FINRA’s Financial Reporting, Financial Planning & Analysis; Accounts Payable; Cash Management; Travel, Meetings & Conferences, and Investments & Treasury functions. Mr. Kalinowski joined FINRA in 2018, and prior to
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
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
Hey [REDACTED], I know your plan, regulate this so the market prices crash, let institutions but and then sell for sky high prices. This way they can book profits and you [REDACTED] can get taxes by 4/15 next year to pay for all the expenses incurred [REDACTED] in the WH. The American public is much smarter than what they used to be. [REDACTED] first go and implement this [REDACTED] in the WH [
I am writing to express my opposition to regulations that would hinder my investment in public securities, such as leveraged and inverse funds. Leveraged and inverse funds have been important to my investment strategy in the past as both a protective hedge and for periodically seeking enhanced returns. I have educated myself on the risks involved with said securities. I know how to use them.
Dear Sirs;
It has come to my attention you plan on taking away our right to crypto Bitcoin and it's affiliants.Im sorry but that's wrong to do.were suppose to be a free country.but if you do that to us; then it's communism.please leave your hands off these.arent you rich enough as it is ? Then please let us have something for retirement.social security isn't
