Comments: All investing involves risk. Stocks, Bonds, Mutual Funds, ETFs, Commodities, Currencies. Imposing sanctions, regulations on a specific sector or industry that market "complex products" is arbitrary, biased and prejudiced when not imposing the same sanctions, regulations on other risk assets as Stocks, Bonds, Mutual Funds, ETFs, commodities, etc. Those who market these "
To whom it may concern,
I request you do NOT add new requirements or restrictions to those funds deemed "complex." The term itself can be vague at best and requiring consumers to jump through arbitrary hoops still doesn't reduce the risk of harm in any way, but it could potentially exclude individuals from benefiting from their added diversification.
As a recent
I write to you in strong opposition to the proposed rule changes to which this public comment refers. I understand and applaud FINRA's desire to protect consumers - however I must insist you find a different way to do it. Simply restricting my access as an individual investor to a broad range of investments doesn't serve to protect me - it serves to drive my investing into
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2022.
All my life I have worked so That I might retire comfortably. Not rich, but enough to pay bills and live without any monetary assistance from the Government programs. President Regan once said two things that you should be aware of. Hi Im from the Government and Im here to help. Please leave the cryptocurrency alone.
Background
Until mid-2017, FINRA maintained two distinct enforcement teams within the organization—one handling disciplinary actions related to trading-based matters found through our market surveillance and trading examination programs, and the other handling cases referred from other regulatory oversight divisions within FINRA, such as sales practice examinations and our Office of Fraud
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
SummaryAn efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the
SR-FINRA-2008-059 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
