Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
Regarding your published intent to consider regulating investments in leveraged investments. I oppose any all actions you may consider that would restrict my ability to choose which financial products I may choose as investment tools.
Why would you regulate this now??
How could your actions be fair?
Im an educated adult. I shouldnt need a license to trade in funds or.you should make ALL investments (especially crypto) require a trading license!!
Please reconsider this action. There are enough safeguards and warnings in place currently. The issuers are really good about letting the buyer know how these work, and risks involved. They are an important part of my trading strategy.
Thank you for your consideration.
Every investor should have the right to purchase whatever they want. Risk is solely the responsibility of the investor and not a regulatory body in a democratic and capitalistic society. Further action such as these are further proof that the US financial system is rigged in favor for the elite and top 1%.
FINRA is providing these Frequently Asked Questions about its 529 Plan Share Class Initiative (the “Initiative”) in response to a number of inquiries it has received from firms and trade associations. In order to allow firms sufficient time to consider the additional information provided here and to provide firms more time to review their supervisory systems and procedures with respect to 529
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
I wish to object to the actions that FINRA is in the process of adopting. I have been trading this type of vehicle for the last 15 years or more and have found no reason that your requirements are meaningful. I request that you make no changes to the current trading rules!
I reject your intrusive attempts to stop investments into leveraged and inverse ETFs. Stop treating investors as if they have no understanding. It's patronizing and demeaning, and it's not who you are. Lead by positive action to create more choices in the market....not less.
(a) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other person who is served with a notice issued under the Rule 9550 Series and who timely requests a hearing or who is served with a petition instituting an expedited proceeding under Rule 9556(h). For purposes of this Rule, such
