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As a retiree with long service in paying taxes and abiding complexity. This proposed change
Serves no benefit to citizens making informed choices to invest in public equities.
These products have been around for years with no 'damage' to any investors. Informed investors are fully aware of the risk associated with both Inverse and Leveraged ETFs.
To whom it may concern,
I am very surprised to hear FINRA is considering restricting investors ability to trade leveraged and inverse funds.
I believe an American investor should have the right to choose how they wish to invest their money. It is helpful that brokerage firms provide information explaining the details and/or risks associated. I am capable of understanding leveraged and inverse
Hello, I dont want my rights limited in terms of my investment choices. Im an informed investor and dont want to lose access to these funds.
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
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Agenda and Office Hours
T2 settlement is ridiculous. There’s no reason that information can’t be gathered daily.
Thank you, Kayte [Toczylowski, FINRA’s head of Member Relations and Education], and good morning, everyone. It is so wonderful to see you. I am delighted to join Kayte in welcoming you to the 2023 FINRA Annual Conference.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service - to make records of final regulatory actions against brokers permanently available to the public, regardless of whether they continue to be employed in the securities industry. Under current rules, a broker's record generally becomes unavailable to the public two years after he or she leaves the securities industry and is therefore no longer under FINRA's jurisdiction.
I am an adult capable of making informed decisions. Just think of all the tax revenue that you will lose. It will be in the Billions not hundreds of millions. Thanks, Eric Schodde