FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
SEC Approves Amendments Relating to Stop Orders
Navigating your finances might seem impossible at first—maybe you’re facing student loan debt, low income, expensive housing costs or all of the above. But taking a few key steps, like setting financial goals, paying off debt and starting your retirement savings, can help you feel more in control.
SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws on deep engagement with its member firms. Among other benefits, this engagement enables FINRA to better understand and address risks to investors and markets; better adapt its oversight to changing business practices and markets; better support innovation and the deployment of new technologies and
Comments: Regarding FINRA Regulatory Notice 22-08.
I was forced into early retirement as a result of Covid. As such, I was forced into living off my IRA earlier than planned. I have been investing and trading for 45 years. I am a small retail trader. I occasionally employ the use of leveraged and inverse ETFs to protect against losses or to enhance returns with due regard for their intended
I have been trading 3x leveraged funds for 12 years, namely TQQQ but many others including UDOW which I consider a very safe investment long term.
I started my journey investing when my companies pension plan was paid out. I received 17,568 dollars that I rolled into an IRA. I have grown that initial investment into hundreds of thousands of dollars for my family and myself for retirement. I
Hi, I am writing to ask you to NOT limit my ability to freely invest in any type of public securities. I'm an individual investor and I've been investing and trading securities of all kinds for the past 10 years. Im an active learner and constantly educate myself about opportunities and associated risks. I have paid-subscriptions to several investment advisors. I make informed decisions
Thank you for the opportunity to comment.
I am an informed investor. I have a plan in place to be able to maximize retirement moneys. I have used a leveraged fund for several years (TQQQ).
The nature of TQQQ is volatile. I clearly understand the volatile nature. I depend on the volatile nature of this fund as if gives best opportunity for growth.
I oppose the proposed regulation. In this
It has come to my attention that many in government want to restrict the ability for the middle and lower classes to build wealth and ascend the financial ladder by destroying many investment vehicles.
This is apart of the greater plan set in motion by the great reset to massively redistribute wealth to favor the elite and severely disadvantage the other people in the world.
I understand that
I strongly support FINRA's mission to protect investors from ensuring an open, honest, and fair securities market, a key piece of which is striving to align investor needs and goals with product choice. It is probably or even likely that "complex" products are not appropriate for most investors, and to that end these products are broadly not used by most investors. Few defined
