This REEKS of corruption by the FINRA!!! There is no one out there that FULLY understands every aspect of the stock market, Doctorates (multiple) or none. The market is simple principals that work either on an ETF or common stock. There is not a single stock that is 100% guaranteed to make a profit, some are much more riskier than others. The FINRA should not be Wall Street’s thug enforcer, but
We should get fair reporting real time on the buys and sells as they are placed in the market. Brokers and market makers make billions every year by payment for order flow and parking orders. They spent millions to get faster fiber optic cables for those fractions of a second faster receiving of the data as Knowledge is and forever will be power. Why is there a t plus 2 or some reports only send
I am opposed to FINRA Regulatory notice # 22-08.
The decision for such investments should lie between a broker and an investor, akin to the relationship between a doctor and patient.
If additional investment risk information is needed, FINRA should promulgate it. I am and have been capable of understanding the investment risk with these investments for some time. I do not need the consequences
Lets replace all financial terms with fast food terms. To eat at fast food restaurants you must: Pass a health quiz Demonstrate a low BMI Receive a note from your doctor Attest to reading health journals Go through cooling off periods during which you cant eat You would never support a regulation like this. Let people make their own informed decisions you would say. Great, now apply this to
Im a doctor that is also an accountant. I dont need the SEC or FINRA looking out for me. I invest small amounts on a short term basis in leveraged funds. I understand that all the money I invest can be lost. If people dont understand this then that is on them. Thats why they have a 401k and not their own self directed IRA or brokerage account. Im not against having to pass a small test or
I cannot believe in the "greatest country in the world" we have to comment on whether transparency on the very thing that provides a backbone for the world economy is a good idea. ALL information regarding what occurs on our markets should be readily accessible by everyone. Having a select few entities control all of the information is the definition of an oligarchy in a world where
Hello, First of all any rule changes should effect at least after 12 months (maybe 24 months) to be fair for the investors. We are using these funds generally to protect (hedge) our investment or sometimes to gain in a short time. We know the risk of the any investment which we are investing. So, actually/generally I oppose restrictions on my right to invest in public investments. Rules should
Mr. Rindell is Vice President of Learning, Talent and Organizational Development at FINRA, with responsibility for FINRA’s training and development programs.Prior to joining FINRA, Mr. Rindell led enterprise leadership development and executive coaching at Cigna and played a key role in enhancing performance management, advancing enterprise leadership development and revamping Cigna's
Elisabeth Craig is Senior Vice President & Deputy, FINRA, Credentialing, Registration, Education and Disclosure (CRED), responsible for oversight of registration functions and testing and continuing education.
Prior to joining FINRA, Elisabeth was employed as Counsel with DCS Advisory, an investment banking firm, where she focused on all aspects of legal and compliance matters. Elisabeth
