To FINRA,
As a professional in the investment industry, I strongly feel the disclosures regarding investment performance and risk are well communicated and transparent regarding leveraged ETFs. It is very simple to understand those products that have 2x or 3x leveraged being specified as DAILY performance.
To limit the ability to invest in those products or to remove them completely would create
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On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).
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On November 10, 1994, the Securities and Exchange Commission (SEC) adopted amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Act) that prohibit broker/dealers from underwriting and recommending municipal securities for which
Timothy Thompson is Senior Vice President, Enterprise & Financial Solutions. More specifically, Mr. Thompson serves as the Head of FINRA’s Enterprise Risk Management (ERM) Team. ERM provides a consolidated, organization-wide view of risks that could potentially have a significant impact on FINRA’s ability to achieve its mission, strategic goals and key
A positive cash flow—net income that exceeds expenses—gives you room to save and invest. Learn how to calculate your cash flow.
REQUEST FOR COMMENT
Proposed Rule Governing the Purchase, Sale, or Exchange of Deferred Variable Annuities
Comment Period Expired: August 9, 2004
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FINRA Provides Guidance on Advertising Regulation Issues
Dear FINRA,
Public investments should be available to all of the public not just the privileged. I should be able to choose the public investments that are right for me and my family.
I have done my own research and are well capable of understanding leveraged and inverse funds and their risks.
I shouldn't have to go through any special process like passing a test before I can invest in
Telling one how they can invest/spend/lose or grow their money, or NOT allowing one to do what they want with their money is against American freedom. Should I not be able to work in certain jobs because I'm not sophisticated or privileged?...of course we no that isn't the case. Make sure disclaimers are read and let 'adults' make their own decisions. If they
