Summary
In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to prioritize the health and safety of firm personnel and investors, while maintaining the public’s access to capital markets. These changes include widespread use of remote offices and alternative work arrangements and new and expanded methods
Short interest reporting? What happened!!?!?!? Integrity is the virtue... Honest, accurate, and punctual short sale reporting is the action. We love you guys. Do the next right thing.
April is Financial Literacy Month, making this a great time to think about actions you can take to boost financial capability. FINRA and the FINRA Investor Education Foundation offer many resources to support you and your loved ones along your financial journey.
I support FINRA's effort to curtail the purchase of leveraged and inverse funds and dozens of other popular investments deemed to be complex. These types of investments are nothing more than pure gambling. I applaud FINRA's action to protect the unwary investor.
Sec. 1. In order that the Corporation may determine the members entitled to notice of or to vote at any meeting of members or any adjournment thereof, or to express consent or dissent to corporate action in writing without a meeting, or for the purpose of any other lawful action, the Board may fix, in advance, a record date, pursuant to Section 213 of the General Corporation Law of the
(a) General Requirements
Following the issuance of a complaint in a disciplinary proceeding, or the initiation of another proceeding, every filing of a Party represented by counsel or a representative shall be signed by at least one counsel or representative of record in his or her name and shall state the business address and telephone number of such counsel or representative. A Party
As an investor for over 60 years I find it to be questionable, at best, that actions such as those included in Notice #22-08 are being considered. People have the right to invest their money as they see fit. It is not the function of regulators to shelter investors from risk.
Please continue to allow retail investors to invest in leverage and inverse ETFs, as well cryptocurrency ETFs. Retail investors are aware of what they invest in and are taking full responsibility for their own action. It is their freedom and this freedom should not be taken away.
It was shocking of knowing that our regulators plan to limit our right to invest in leveraged and inverses funds. Certainly, we understand the risk of investing and the choice of risk and reward should be left to the investors. The investment choices and the type of investments should be open to all, but not just a few privileged, i.e. the wealthy ones, and the investment firms...etc. As an
I am a private investor and am writing this letter to express my concerns with the actions proposed in the FINRA regulatory notice 22-08. The actions described in the notice seem to fall under the premise that the government can chose the publicly traded investments that are best for me or worse, I have to jump through hoops to pass some sort of government test to invest in things such as
