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
Before buying these products, my brokerage house qualified me and informed me these products were for knowledgeable investors. That is all the regulation we should need.
I am an informed investor that believe public investments should be available to all of the public. Leveraged funds are a limited part of my portfolio that enhances my returns.
Do not limit my freedom to manage my own asset. Broker house has done due diligent to inform me about the risk. That is enough!
On this episode, we dig into a new report from the FINRA Investor Education Foundation, Investors of Color in the United States, that highlights interesting trends related to the pace at which Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors are entering the market, their views on risk, where they're receiving information and more.
I think it is good and reasonable move. It will help make the market less like casino. The question is how will the test be designed to make it really informative to retail investors.
The purpose of this Election Notice is to notify member firms of the upcoming nomination and election process to fill forthcoming vacancies on FINRA District Committees and District Nominating Committees.
The current District Committee and District Nominating Committee members are included in Attachment A. Information on District Election procedures is included in Attachment B. A candidate
(a) The Director will not serve any claim that is deficient. The reasons a claim may be deficient include the following:
(1) A Submission Agreement was not filed by each claimant;
(2) The Submission Agreement was not properly signed and dated;
(3) The Submission Agreement does not name all parties named in the claim;
(4) The claim does not specify the customer's city and state at the
I support complete transparency. Please make all short positions public information to remove barriers that serve the 1%.
The following frequently asked questions provide information about the Central Registration Depository (CRD).
