I feel that I have the right as a human being to invest anyway I like and in my family's best interest without the consent of a regulator I also feel that I have the right not to go to the school to take tests or any of that other nonsense I can understand the information just fine the way it's written now to be able to handle myself in any investment situation thank you very much
Investing should not be controlled by hedge funds, fund managers, and the ultra wealthy. It should be free and accessible to all. Taking away citizens small rights little by little never ends well for the government. Don't limit investing ability to net worth. Information, tools, classes, and all sorts of material are more than readily available for individuals to consume and make their own
Respected Regulators, Leveraged and inverse ETFs help me hedge my portfolio and I would really appreciate if you don't impose any rules such as passing a test before investing in such ETFs. Investors understand the risks these risks since the information is widely available. I would really appreciate if you let investors choose what works best for them. Thank you!
I use these investments tactically to hedge, and they have been very helpful in mitigating risk and improve returns. I really don't appreciate being treated like a child just because I'm not high net worth. People have a right to make their own decisions. Your only job is to inform people objectively and without hyperbole. Once people have agreed to the risks, it is their responsibility
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA SUPPORT” with the email address “[email protected]”. The email asks the recipient to pay attention “to the report attached below that requires your immediate response” and states that “[t]he attachment contains our updated Public Policy
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 21, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 20,
Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
REQUEST FOR COMMENT
Proposed Rule to Enhance
Confirmation Disclosure in Corporate
Debt Securities Transactions
Comment Period Expires April 19
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered Representatives
Senior ManagementTechnologyTraining
ConfirmationsDebt SecuritiesOperationsTransaction Reporting
Executive Summary
NASD is requesting
Summary
FINRA is adding two new Rule 4530 Problem Codes related to SEC Regulation Best Interest (Reg BI) and Form CRS, and making related amendments to the existing Rule 4530 Problem Code related to suitability. Starting on July 18, 2020, firms can use new Problem Code 16–Reg BI and new Problem Code 17–Form CRS, when applicable, to report customer complaint information and required documents
In March 2004, NASD convened a panel of industry experts and investor advocates to assess the challenges facing the corporate debt market and make recommendations for possible improvements. The objective of the Corporate Debt Market Panel was to review and make recommendations to the NASD Board of Governors regarding how to best ensure market integrity and investor protection in the corporate
