It is not the role of regulators to allow what investors can or should invest in. Regulators should however look at conflicts of interest, such as congressmen and women trading individual stocks. Dont limit the options of everyday investors who are already at a disadvantage. Regulate the advantaged (make hedge funds report more information, ban individual stock trades for congress, etc.) and
As a not-for-profit membership organization, FINRA is committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you about a fee rebate to our member firms.
I do not believe that there should be any special regulations for individuals purchasing a crypto currency, security, etf or fund. If you are to impose special restrictions or require special knowledge for crypto how is that different from an individual purchasing a stock in a company they know nothing about or a mutual fund where they dont know what stocks are in the fund. I repeat I am very
Executive Summary
In mid-January, the Securities and Exchange Commission (SEC) approved a revised NASD Manual. To facilitate your adjustment to this new Manual, which is scheduled for publication and dissemination this May, we have included a Guide to the Manual: New-to-Old Conversion Chart and Old-to-New Conversion Chart. This material outlines the reorganized Manual and indicates where the
The Anti-Money Laundering, Fraud and Sanctions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System (Regulation T) and SEA Rule 15c3-3(n) to FINRA for approval.
This conference comes at an important time, in the aftermath of a very difficult period. If we look back to the summer and fall of 2008, every time we thought conditions in the financial sector couldn't get worse, they did, and we ultimately came to the brink of a global market meltdown.
The proposed rule would be a huge misstep. Investing strategies which use leverage, especially leveraged exchange-traded funds should not be restricted to the rich, they should be available for every investor. Decades of investment research show that maximizing the efficient frontier using a diversified portfolio, such as stocks and bond funds, and applying leverage is superior to individually
I want the right to invest in Bitcoin. Be it an ETF, Digecoin, or any type of digital currency. Public has allowed me to invest on my terms. I understand the risk involved with buying any stock be it cryptocurrency, blue chip, mutual fund, or bond. Putting restrictions on my account is another layer of beurucacy. If I had wanted to spend hours on paperwork and federal and state forms, I would
Im not certain about the rationale behind your proposed limitation of trading leveraged exchange traded funds.
People can open options accounts and lose money very quickly. And these accounts exemplify confusion. Condors, straddles, bow ties, synthetic buys, etc.
People can open futures account and lose money very quickly.
People can open Forex accounts and lose money extremely quickly.
People
