I truly feel that this new regulation would severely damage any investor that is interested in securing his or her financial future.
Cryptocurrency is the one financial vehicle that is not only affordable to ANY investor regardless of the amount of wealth they may have but that can change an investors financial status overnight.
It is no more risky, than any stock an investor may buy or trade
I strongly oppose the proposed rule changes that would restrict or even block access of certain investments including leveraged and inversed funds.
The decision of choosing investment vehicles can only be made by individual investors, not a small group of regulators. To protect the interest of individual investors, the regulatory should work toward ensuring fairness by enabling equal access to
Dear regulators,
I believe, the US is a free country and it should be my choice of what I want to invest into and what not, not you. I originally came from a communist country where the government and regulators controlled and regulated every citizens' life. You are starting to remind me of those days.
Why are you going to punish responsible investors like me for a few irresponsible and
Placing limit orders in ECNs that comply with the ECN Display Alternative under the SEC's Order Handling Rules in order to affect the price of transactions effected through POSIT may constitute market manipulation in violation of the antifraud provisions of the securities laws and NASD rules.
Placing limit orders in ECNs that comply with the ECN Display Alternative under the SEC's Order Handling Rules in order to affect the price of transactions effected through POSIT may constitute market manipulation in violation of the antifraud provisions of the securities laws and NASD rules.
Hi there, I oppose the proposed regulatory enhancements. I especially disagree with tying the ability to trade or invest in leveraged ETFs (or other "complex funds") to net worth. Nothing about having a high net worth guarantees a better understanding of complex funds. Someone with a small portfolio is capable of doing their due diligence before investing in or trading complex funds. I
Muchas personas se ponen en contacto con la Oficina del Ombuds en relación con ardides de fraude. Algunos de estos ardides son denominados estafas de impostores en las que personas se hacen pasar por personal de FINRA para obtener información sobre cuentas u otros datos confidenciales.
For disputes involving statutory employment discrimination claims, see Rule 13802.
(a) Lists Generated in Disputes Between Members
(1) If the panel consists of one arbitrator, the list selection algorithm will generate a list of 10 non-public arbitrators from the FINRA non-public chairperson roster.
(2) If the panel consists of three non-public arbitrators, the list selection algorithm will
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. On this episode, we hear from four individuals across FINRA about what all market participants need to be thinking about and testing ahead of the transition.
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
