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I am a small investor who would like to continue to choose my own investments, including the ones that this FINRA rule would restrict as too "complex". I've spent considerable time educating myself on investment theory and the value of a diversified portfolio, and I use a mix of "complex" and conservative investments to match my goals and risk
Summary
To bring attention to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), FINRA issued Regulatory Notice 22-21, which alerted member firms about how bad actors effect fraudulent transfers of customer assets using ACATS (referred to as ACATS fraud). That Notice listed several existing regulatory obligations that
Attention FINRA. I have been licensed in the business for more than a decade. I saw the collapse of the financial markets first-hand in 2007 to 2009 and none of it was due to retail investors breaking laws or taking risks. It was the institutions.
To restrict or prohibit an inverse ETF strategy is literally taking away the working class's means to invest in derivatives, which is an
I am a 40 year old CFA Charterholder, investing for my own portfolio. I am shocked and disturbed to hear that investing in and/or trading certain products will be contingent upon certain criteria. I am investing my own capital, and feel it is against my rights to be told what I can and cannot invest in. Furthermore, I have completed extensive exams within the financial space, as well as worked
I oppose restrictions on my right to trade in particular securities or requiring prequalification to do so. The securities I trade in are a critical part of my investment strategy and I use them appropriately with stop loss orders to protect my capital. I have over 40 years experience trading in the financial markets and shouldn't be required to prove to anyone that I know what I&#
This is ludicrous and socialist with small individual investors ability to secure their own financial security with a small account . This is bending to the big money funds to siphon out the small investor . Another socialistic interference into capital markets . Pity the regulators didnt do there job with PFG some years ago when investors lost millions because regulators defied criminal activity
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TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The SEC has approved amendments to Schedule E to the NASD By-Laws governing the public offering of securities issued by a member, the parent of a member, or an affiliate of a member. With the exception of an exemption from Schedule E for investment grade securities, eollateralized by financing instruments, the remaining changes
Summary
FINRA has amended its suitability rule, Capital Acquisition Broker (CAB) suitability rule and rules governing non-cash compensation to provide clarity on which standard applies and to address potential inconsistencies with the Securities and Exchange Commission’s (SEC’s) Regulation Best Interest (Reg BI).1 These changes have been approved by the SEC and become effective on June 30, 2020
