As a 91 yr-old with over 70 years of experience in the Securities Markets__15 of those years as a Registered Broker__I have witnessed countless examples of inept actions by Big Govt. "Hedge Fund" connotes dodgy transac- tions in the view of most. And yet the basic strategy's been used with commodities, insurance and debt securities for 100's of years to REDUCE "risk
On behalf of myself and private investors, the fact that a governing body would consider restricting investment choices to and from certain individuals is absurd and wholly un American. It is nobodys place but the investor themselves to determine what they put their money into and how they choose to invest. I, along with, I'm certain many other Americans firmly believe that it is not your
Can't believe such a regulation comes from FINRA?! America is about THE Ultimate country to let investors to have total freedom investing in this amazing market, with such action is like telling the world this country is not as confident as before any more!
there's always risks in investment,bigger return higher the risk, it's just common sense, I understand the words
This is not fair, and it restricts my ability to take part in free commerce. It is my responsibility for my own actions, protecting people from themselves does nothing but creates an elite system that affords no opportunity to the layman.
I should be able to choose how I invest MY MONEY!
I should not have regulations or restriction that a group of people whos sole aim would be to justify their
This is unwarranted, unjustified, and unnecessary. Investors should be able to make their own decisions about what they invest in, and when, and how. Fund family vendors provide all the information necessary about their product(s) to let any investor who TAKES RESPONSIBILITY for THEMSELVES for their actions to understand clearly what they are investing in, and the risks inherent in that
the leveraged funds, both long and short the underlying, are important tools in portfolio construction. The open and free markets and skill sets should determine the winners and losers, not selected regulations. And we the investors should have to be responsible for our own actions, whether the results are good or not. Nor should we be subjected to pass an exam of sorts to qualify. The current
(a) Notice of Suspension of Member, Person Associated with a Member or Person Subject to FINRA's Jurisdiction if Corrective Action is Not Taken
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the FINRA By-Laws or FINRA rules,
The Reg BI and Form CRS topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
What is going on in the market today with short selling is absolute market manipulation. How are traders allowed to operate on dark poles? How are they able to short shares that not only do they not home, but often times don’t even exist? The market needs to be a level playing field for both institutional traders and retail traders alike. The SEC Needs to take action against illegal activity!
Our country is founded on Freedom guarunteed in the constitution. Any actions by Government outside groups to limit our Freedom of choice or centralize control, represent a degredation of our Freedom. Investing in a free market is a key element of citizen right to freely earn through investments and is no business of the FINRA. I suspect the potential rule is being pushed to protect investors
