The investing public not regulators should be able to choose the investments that are right for me and my family.
Investments should be available to all of the public, not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and
I disagree with the FINRA Regulatory Notice #22-08. Leveraged and inverse funds are important financial assets to allow individual investor to increase their gains and protect their assets. Please treat us as adults who are responsible for our own decisions and not children who need to be looked over. Therefore, there is no need of a test to determine if we're allowed to invest in these
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
I completely disagree that regulators should be able to own the right to deny me the ability to use leveraged and inverse funds. I've been trading with these instruments for a decade and they have preserve my capital, and grown my net worth. Without these instruments, I'd be in trouble. These are very important particularly in the market we are in now when I can hedge my
(a) Assignment of Responsibility for General Ledger Accounts
Each capital acquisition broker must designate an associated person who is responsible for each general ledger bookkeeping account and account of like function used by the broker and such associated person must control and oversee entries into each such account and must determine that the account is current and accurate as
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Please do not bring regulations that stifle adoption and investment. This is all part of freedom being able to invest in an asset (precious metals, precious stones, stocks, bonds, currency or digital currency etc), claiming America being a free nation, and not allowing financial freedom such as investment as long it's within guidelines of law that protects the investor from scammers and
In both 2017 and 2018, FINRA issued Reports on Examination Findings in response to firms’ requests that we make publicly available a summary of key findings from FINRA’s examinations of member firms. Firms use this information, as well as effective practices observed by FINRA at certain firms, to anticipate potential areas of concern and improve their procedures and controls. (We subsequently refer to the two prior years’ documents as the “2017 Report” and the “2018 Report.”)
When investing in your 401(k) or other retirement savings account, target-date funds, also known as life-cycle funds, are one popular option. You pick a fund that is dated around when you plan to retire, and that fund promises to rebalance as you approach that date.
