I'm an informed investor and aware of the possible risks involved so please don't take away the freedom of what I want to do with my money.
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.
To conduct securities transactions and business with the investing public in the United States both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer. The New Member Application Form (Form NMA) is used by FINRA’s Membership Application Program (MAP) Group to assess whether an Applicant meets those
It's about time. The retail investor deserves access to the same information institutional investors have.
I would like for more transparency when it comes to sharing trading information, especially considering shorts.
For a fair market all short positions should be public. All information she be made public.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory, or misleading claims.
